101 Part 213—Track Safety Standards

Federal Railroad Administration, DOT Pt. 213

deemed to meet all requirements of PART 213—TRACK SAFETY this section and is qualified to conduct STANDARDS independent inspections of all types of highway-rail grade crossing warning Subpart A—General systems for the purpose of determining compliance with Grade Crossing Signal Sec. 213.1 Scope of part. System Safety Rules (49 CFR part 234), 213.3 Application. to make reports of those inspections, 213.4 Excepted track. and to recommend institution of en- 213.5 Responsibility for compliance. forcement actions when appropriate to 213.7 Designation of qualified persons to su- promote compliance. pervise certain renewals and inspect track. [59 FR 50104, Sept. 30, 1994] 213.9 Classes of track: operating speed limits. § 212.233 Apprentice highway-rail 213.11 Restoration or renewal of track under grade crossing inspector. traffic conditions. 213.13 Measuring track not under load. (a) An apprentice highway-rail grade 213.14 Application of requirements to crossing inspector shall be enrolled in a curved track. program of training prescribed by the 213.15 Penalties. Associate Administrator for Safety 213.17 Waivers. 213.19 Information collection. leading to qualification as a highway- rail grade crossing inspector. The ap- Subpart B—Roadbed prentice inspector may not participate in investigative and surveillance ac- 213.31 Scope. 213.33 Drainage. tivities, except as an assistant to a 213.37 Vegetation. qualified State or FRA inspector while accompanying that qualified inspector. Subpart C—Track Geometry (b) Prior to being enrolled in the pro- 213.51 Scope. gram the apprentice inspector shall 213.53 Gage. demonstrate: 213.55 Track alinement. (1) Working basic knowledge of elec- 213.57 Curves; elevation and speed limita- tricity; tions. (2) The ability to use electrical test 213.59 Elevation of curved track; runoff. 213.63 Track surface. equipment in direct current and alter- 213.65 Combined track alinement and sur- nating current circuits; and face deviations. (3) A basic knowledge of highway-rail grade crossing inspection and mainte- Subpart D—Track Structure nance methods and procedures. 213.101 Scope. [59 FR 50104, Sept. 30, 1994] 213.103 Ballast; general. 213.109 Crossties. 213.110 Gage restraint measurement sys- § 212.235 Inapplicable qualification re- tems. quirements. 213.113 Defective rails. The Associate Administrator may de- 213.115 Rail end mismatch. termine that a specific requirement of 213.118 Continuous welded rail (CWR); plan review and approval. this subpart is inapplicable to an iden- 213.119 Continuous welded rail (CWR); plan tified position created by a State agen- contents. cy if it is not relevant to the actual du- 213.121 Rail joints. ties of the position. The determination 213.122 Torch cut rail. is made in writing. 213.123 Tie plates. 213.127 Rail fastening systems. [47 FR 41051, Sept. 16, 1982. Redesignated at 213.133 Turnouts and track crossings gen- 57 FR 28115, June 24, 1992. Further redesig- erally. nated at 59 FR 50104, Sept. 30, 1994] 213.135 Switches. 213.137 Frogs. 213.139 Spring rail frogs. 213.141 Self-guarded frogs. 213.143 Frog guard rails and guard faces; gage.

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Subpart E—Track Appliances and Track- 213.367 Special inspections. Related Devices 213.369 Inspection records. APPENDIX A TO PART 213—MAXIMUM ALLOW- 213.201 Scope. ABLE CURVING SPEEDS 213.205 Derails APPENDIX B TO PART 213—SCHEDULE OF CIVIL Subpart F—Inspection PENALTIES APPENDIX C TO PART 213 [RESERVED] 213.231 Scope. APPENDIX D TO PART 213—MINIMALLY COMPLI- 213.233 Track inspections. ANT ANALYTICAL TRACK (MCAT) SIMULA- 213.234 Automated inspection of track con- TIONS USED FOR QUALIFYING VEHICLES TO structed with concrete crossties. OPERATE AT HIGH SPEEDS AND AT HIGH 213.235 Inspection of switches, track cross- CANT DEFICIENCIES ings, and lift rail assemblies or other AUTHORITY: 49 U.S.C. 20102–20114 and 20142; transition devices on moveable bridges. Sec. 403, Div. A, Public Law 110–432, 122 Stat. 213.237 Inspection of rail. 4885; 28 U.S.C. 2461, note; and 49 CFR 1.89. 213.239 Special inspections. 213.241 Inspection records. SOURCE: 63 FR 34029, June 22, 1998, unless otherwise noted. Subpart G—Train Operations at Track Classes 6 and Higher Subpart A—General 213.301 Scope of subpart. 213.303 Responsibility for compliance. § 213.1 Scope of part. 213.305 Designation of qualified individuals; (a) This part prescribes minimum general qualifications. 213.307 Classes of track: operating speed safety requirements for railroad track limits. that is part of the general railroad sys- 213.309 Restoration or renewal of track tem of transportation. In general, the under traffic conditions. requirements prescribed in this part 213.311 Measuring track not under load. apply to specific track conditions ex- 213.313 Application of requirements to isting in isolation. Therefore, a com- curved track. bination of track conditions, none of 213.317 Waivers. 213.319 Drainage. which individually amounts to a devi- 213.321 Vegetation. ation from the requirements in this 213.323 Track gage. part, may require remedial action to 213.327 Track alinement. provide for safe operations over that 213.329 Curves, elevation and speed limita- track. This part does not restrict a tions. railroad from adopting and enforcing 213.331 Track surface. additional or more stringent require- 213.332 Combined track alinement and sur- ments not inconsistent with this part. face deviations. 213.333 Automated vehicle-based inspection (b) Subparts A through F apply to systems. track Classes 1 through 5. Subpart G 213.334 Ballast; general. and 213.2, 213.3, and 213.15 apply to 213.335 Crossties. track over which trains are operated at 213.337 Defective rails. speeds in excess of those permitted 213.339 Inspection of rail in service. over Class 5 track. 213.341 Initial inspection of new rail and welds. [63 FR 34029, June 22, 1998, as amended at 78 213.343 Continuous welded rail (CWR). FR 16100, Mar. 13, 2013] 213.345 Vehicle/track system qualification. 213.347 Automotive or railroad crossings at § 213.3 Application. grade. 213.349 Rail end mismatch. (a) Except as provided in paragraph 213.351 Rail joints. (b) of this section, this part applies to 213.352 Torch cut rail. all standard gage track in the general 213.353 Turnouts, crossovers, and lift rail as- railroad system of transportation. semblies or other transition devices on (b) This part does not apply to moveable bridges. track— 213.355 Frog guard rails and guard faces; (1) Located inside an installation gage. 213.357 Derails. which is not part of the general rail- 213.359 Track stiffness. road system of transportation; or 213.361 Right of way. (2) Used exclusively for rapid transit 213.365 Visual inspections. operations in an urban area that are

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not connected with the general rail- (1) Bring the track into compliance; road system of transportation. (2) Halt operations over that track; or § 213.4 Excepted track. (3) Operate under authority of a per- A track owner may designate a seg- son designated under § 213.7(a), who has ment of track as excepted track pro- at least one year of supervisory experi- vided that— ence in railroad track maintenance, (a) The segment is identified in the subject to conditions set forth in this timetable, special instructions, general part. order, or other appropriate records (b) If an owner of track to which this which are available for inspection dur- part applies designates a segment of ing regular business hours; track as ‘‘excepted track’’ under the (b) The identified segment is not lo- provisions of § 213.4, operations may cated within 30 feet of an adjacent continue over that track without com- track which can be subjected to simul- plying with the provisions of subparts taneous use at speeds in excess of 10 B, C, D, and E of this part, unless oth- miles per hour; erwise expressly stated. (c) The identified segment is in- (c) If an owner of track to which this spected in accordance with 213.233(c) part applies assigns responsibility for and 213.235 at the frequency specified the track to another person (by lease for Class 1 track; or otherwise), written notification of (d) The identified segment of track is the assignment shall be provided to the not located on a bridge including the appropriate FRA Regional Office at track approaching the bridge for 100 least 30 days in advance of the assign- feet on either side, or located on a pub- ment. The notification may be made by lic street or highway, if railroad cars any party to that assignment, but shall containing commodities required to be be in writing and include the fol- placarded by the Hazardous Materials lowing— Regulations (49 CFR part 172), are (1) The name and address of the track moved over the track; and owner; (e) The railroad conducts operations (2) The name and address of the per- on the identified segment under the son to whom responsibility is assigned following conditions: (assignee); (1) No train shall be operated at (3) A statement of the exact relation- speeds in excess of 10 miles per hour; ship between the track owner and the (2) No occupied passenger train shall assignee; be operated; (4) A precise identification of the (3) No freight train shall be operated track; that contains more than five cars re- (5) A statement as to the competence quired to be placarded by the Haz- and ability of the assignee to carry out ardous Materials Regulations (49 CFR the duties of the track owner under part 172); and this part; and (4) The gage on excepted track shall (6) A statement signed by the as- not be more than 4 feet 101⁄4 inches. signee acknowledging the assignment This paragraph (e)(4) is applicable Sep- to him of responsibility for purposes of tember 21, 1999. compliance with this part. (f) A track owner shall advise the ap- (d) The Administrator may hold the propriate FRA Regional Office at least track owner or the assignee or both re- 10 days prior to removal of a segment sponsible for compliance with this part of track from excepted status. and subject to penalties under § 213.15. [63 FR 34029, June 22, 1998] (e) A common carrier by railroad which is directed by the Surface Trans- § 213.5 Responsibility for compliance. portation Board to provide service over (a) Except as provided in paragraph the track of another railroad under 49 (b) of this section, any owner of track U.S.C. 11123 is considered the owner of to which this part applies who knows that track for the purposes of the ap- or has notice that the track does not plication of this part during the period comply with the requirements of this the directed service order remains in part, shall— effect.

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(f) When any person, including a con- the inspection of the track for which tractor for a railroad or track owner, he or she is responsible; performs any function required by this (ii) Can detect deviations from those part, that person is required to perform requirements; and that function in accordance with this (iii) Can prescribe appropriate reme- part. dial action to correct or safely compensate for those deviations; and § 213.7 Designation of qualified per- (3) Written authorization from the sons to supervise certain renewals track owner to prescribe remedial ac- and inspect track. tions to correct or safely compensate (a) Each track owner to which this for deviations from the requirements of part applies shall designate qualified this part, pending review by a qualified persons to supervise restorations and person designated under paragraph (a) renewals of track under traffic condi- of this section. tions. Each person designated shall (c) Individuals designated under have— paragraphs (a) or (b) of this section (1) At least— that inspect continuous welded rail (i) 1 year of supervisory experience in (CWR) track or supervise the installa- railroad track maintenance; or tion, adjustment, and maintenance of (ii) A combination of supervisory ex- CWR track in accordance with the perience in track maintenance and written procedures of the track owner training from a course in track mainte- shall have: nance or from a college level edu- (1) Current qualifications under ei- cational program related to track ther paragraph (a) or (b) of this sec- maintenance; tion; (2) Demonstrated to the owner that (2) Successfully completed a com- he or she— prehensive training course specifically (i) Knows and understands the re- developed for the application of writ- quirements of this part that apply to ten CWR procedures issued by the the restoration and renewal of the track owner; track for which he or she is respon- (3) Demonstrated to the track owner sible; that the individual: (ii) Can detect deviations from those (i) Knows and understands the re- requirements; and quirements of those written CWR pro- (iii) Can prescribe appropriate reme- cedures; dial action to correct or safely com- (ii) Can detect deviations from those pensate for those deviations; and requirements; and (3) Written authorization from the (iii) Can prescribe appropriate reme- track owner to prescribe remedial ac- dial action to correct or safely com- tions to correct or safely compensate pensate for those deviations; and for deviations from the requirements in (4) Written authorization from the this part. track owner to prescribe remedial ac- (b) Each track owner to which this tions to correct or safely compensate part applies shall designate qualified for deviations from the requirements in persons to inspect track for defects. those procedures and successfully com- Each person designated shall have— pleted a recorded examination on those (1) At least— procedures as part of the qualification (i) 1 year of experience in railroad process. track inspection; or (d) Persons not fully qualified to su- (ii) A combination of experience in pervise certain renewals and inspect track inspection and training from a track as required in paragraphs (a) course in track inspection or from a through (c) of this section, but with at college level educational program re- least one year of maintenance-of-way lated to track inspection; or signal experience, may pass trains (2) Demonstrated to the owner that over broken rails and pull aparts pro- he or she— vided that— (i) Knows and understands the re- (1) The track owner determines the quirements of this part that apply to person to be qualified and, as part of

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doing so, trains, examines, and re-ex- [In miles per hour] amines the person periodically within Over track that two years after each prior examination meets all of the re- The maximum al- The maximum al- quirements pre- lowable operating lowable operating on the following topics as they relate scribed in this part speed for freight speed for pas- to the safe passage of trains over bro- for— trains is— senger trains is— ken rails or pull aparts: rail defect Excepted track ...... 10 N/A identification, crosstie condition, Class 1 track ...... 10 15 track surface and alinement, gage re- Class 2 track ...... 25 30 Class 3 track ...... 40 60 straint, rail end mismatch, joint bars, Class 4 track ...... 60 80 and maximum distance between rail Class 5 track ...... 80 90 ends over which trains may be allowed to pass. The sole purpose of the exam- (b) If a segment of track does not ination is to ascertain the person’s meet all of the requirements for its intended class, it is reclassified to the ability to effectively apply these re- next lowest class of track for which it quirements and the examination may does meet all of the requirements of not be used to disqualify the person this part. However, if the segment of from other duties. A minimum of four track does not at least meet the re- hours training is required for initial quirements for Class 1 track, oper- training; ations may continue at Class 1 speeds (2) The person deems it safe and train for a period of not more than 30 days speeds are limited to a maximum of 10 without bringing the track into com- m.p.h. over the broken rail or pull pliance, under the authority of a per- apart; son designated under § 213.7(a), who has (3) The person shall watch all move- at least one year of supervisory experi- ments over the broken rail or pull ence in railroad track maintenance, apart and be prepared to stop the train after that person determines that oper- if necessary; and ations may safely continue and subject (4) Person(s) fully qualified under to any limiting conditions specified by § 213.7 are notified and dispatched to such person. the location promptly for the purpose § 213.11 Restoration or renewal of of authorizing movements and effect- track under traffic conditions. ing temporary or permanent repairs. If during a period of restoration or (e) With respect to designations renewal, track is under traffic condi- under paragraphs (a) through (d) of this tions and does not meet all of the re- section, each track owner shall main- quirements prescribed in this part, the tain written records of— work on the track shall be under the (1) Each designation in effect; continuous supervision of a person des- (2) The basis for each designation; ignated under § 213.7(a) who has at least and one year of supervisory experience in (3) Track inspections made by each railroad track maintenance, and sub- designated qualified person as required ject to any limiting conditions speci- by § 213.241. These records shall be kept fied by such person. The term ‘‘contin- available for inspection or copying by uous supervision’’ as used in this sec- the Federal Railroad Administration tion means the physical presence of during regular business hours. that person at a job site. However, since the work may be performed over [63 FR 34029, June 22, 1998, as amended at 74 a large area, it is not necessary that FR 43002, Aug. 25, 2009; 78 FR 16100, Mar. 13, each phase of the work be done under 2013] the visual supervision of that person.

§ 213.9 Classes of track: operating § 213.13 Measuring track not under speed limits. load. (a) Except as provided in paragraph When unloaded track is measured to (b) of this section and §§ 213.57(b), determine compliance with require- 213.59(a), 213.113(a), and 213.137(b) and ments of this part, the amount of rail (c), the following maximum allowable movement, if any, that occurs while operating speeds apply— the track is loaded must be added to

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the measurements of the unloaded Railroad Administrator for a waiver track. from any or all requirements prescribed in this part. The filing of such § 213.14 Application of requirements to a petition does not affect that person’s curved track. responsibility for compliance with that Unless otherwise provided in this requirement while the petition is being part, requirements specified for curved considered. track apply only to track having a cur- (b) Each petition for a waiver under vature greater than 0.25 degree. this section shall be filed in the manner and contain the information re- [78 FR 16100, Mar. 13, 2013] quired by part 211 of this chapter. (c) If the Administrator finds that a § 213.15 Penalties. waiver is in the public interest and is (a) Any person who violates any re- consistent with railroad safety, the Ad- quirement of this part or causes the ministrator may grant the exemption violation of any such requirement is subject to any conditions the Adminis- subject to a civil penalty of at least trator deems necessary. Where a waiv- $650 and not more than $25,000 per vio- er is granted, the Administrator pub- lation, except that: Penalties may be lishes a notice containing the reasons assessed against individuals only for for granting the waiver. willful violations, and, where a grossly negligent violation or a pattern of re- § 213.19 Information collection. peated violations has created an immi- (a) The information collection re- nent hazard of death or injury to per- quirements of this part were reviewed sons, or has caused death or injury, a by the Office of Management and Budg- penalty not to exceed $105,000 per viola- et pursuant to the Paperwork Reduc- tion may be assessed. ‘‘Person’’ means tion Act of 1995 (44 U.S.C. 3501 et seq.) an entity of any type covered under 1 and are assigned OMB control number U.S.C. 1, including but not limited to 2130–0010. the following: a railroad; a manager, (b) The information collection re- supervisor, official, or other employee quirements are found in the following or agent of a railroad; any owner, man- sections: §§ 213.4, 213.5, 213.7, 213.17, ufacturer, lessor, or lessee of railroad 213.57, 213.119, 213.122, 213.233, 213.237, equipment, track, or facilities; any 213.241, 213.303, 213.305, 213.317, 213.329, independent contractor providing 213.333, 213.339, 213.341, 213.343, 213.345, goods or services to a railroad; any em- 213.353, 213.361, 213.369. ployee of such owner, manufacturer, lessor, lessee, or independent con- Subpart B—Roadbed tractor; and anyone held by the Fed- eral Railroad Administrator to be re- § 213.31 Scope. sponsible under § 213.5(d) or § 213.303(c). This subpart prescribes minimum re- Each day a violation continues shall quirements for roadbed and areas im- constitute a separate offense. See ap- mediately adjacent to roadbed. pendix B to this part for a statement of agency civil penalty policy. § 213.33 Drainage. (b) Any person who knowingly and Each drainage or other water car- willfully falsifies a record or report re- rying facility under or immediately ad- quired by this part may be subject to jacent to the roadbed shall be main- criminal penalties under 49 U.S.C. tained and kept free of obstruction, to 21311. accommodate expected water flow for [63 FR 34029, June 22, 1998, as amended at 69 the area concerned. FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, § 213.37 Vegetation. Apr. 24, 2012] Vegetation on railroad property which is on or immediately adjacent to § 213.17 Waivers. roadbed shall be controlled so that it (a) Any owner of track to which this does not— part applies, or other person subject to (a) Become a fire hazard to track-car- this part, may petition the Federal rying structures;

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(b) Obstruct visibility of railroad Subpart C—Track Geometry signs and signals: (1) Along the right-of-way, and § 213.51 Scope. (2) At highway-rail crossings; (This This subpart prescribes requirements paragraph (b)(2) is applicable Sep- for the gage, alinement, and surface of tember 21, 1999.) track, and the elevation of outer rails (c) Interfere with railroad employees and speed limitations for curved track. performing normal trackside duties; (d) Prevent proper functioning of sig- § 213.53 Gage. nal and communication lines; or (a) Gage is measured between the (e) Prevent railroad employees from heads of the rails at right-angles to the visually inspecting moving equipment rails in a plane five-eighths of an inch from their normal duty stations. below the top of the rail head. (b) Gage shall be within the limits prescribed in the following table—

Class of track The gage must be at least— But not more than—

Excepted track ...... N/A ...... 4′101⁄4″. Class 1 track ...... 4′8″ ...... 4′10″. Class 2 and 3 track ...... 4′8″ ...... 4′93⁄4″. Class 4 and 5 track ...... 4′8″ ...... 4′91⁄2″.

§ 213.55 Track alinement. deviate from uniformity more than the (a) Except as provided in paragraph amount prescribed in the following (b) of this section, alinement may not table:

Tangent track Curved track The deviation of the The deviation of the The deviation of the Class of track mid-offset from a mid-ordinate from a mid-ordinate from a 62-foot line 1 may 31-foot chord 2 may 62-foot chord 2 may not be more than— not be more than— not be more than— (inches) (inches) (inches)

Class 1 track ...... 5 3 N/A 5 Class 2 track ...... 3 3 N/A 3 Class 3 track ...... 13⁄4 11⁄4 13⁄4 Class 4 track ...... 11⁄2 1 11⁄2 Class 5 track ...... 3⁄4 1⁄2 5⁄8 1 The ends of the line shall be at points on the gage side of the line rail, five-eighths of an inch below the top of the railhead. Either rail may be used as the line rail; however, the same rail shall be used for the full length of that tangential segment of the track. 2 The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below the top of the railhead. 3 N/A—Not Applicable

(b) For operations at a qualified cant curve may not deviate from uniformity deficiency, Eu, of more than 5 inches, more than the amount prescribed in the alinement of the outside rail of the the following table:

Curved track The deviation of the The deviation of the Class of track mid-ordinate from a mid-ordinate from a 31-foot chord 1 may 62-foot chord 1 may not be more than— not be more than— (inches) (inches)

Class 1 track 2 ...... 3 N/A 11⁄4 Class 2 track 2 ...... 3 N/A 11⁄4 Class 3 track ...... 3⁄4 11⁄4 Class 4 track ...... 3⁄4 7⁄8 Class 5 track ...... 1⁄2 5⁄8 1 The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below the top of the railhead. 2 Restraining rails or other systems may be required for derailment prevention.

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3 N/A—Not Applicable

[78 FR 16100, Mar. 13, 2013] be lower than the inside rail by design, except when engineered to address spe- § 213.57 Curves; elevation and speed cific track or operating conditions; the limitations. limits in § 213.63 apply in all cases. (a) The maximum elevation of the (b) The maximum allowable posted outside rail of a curve may not be more timetable operating speed for each than 8 inches on track Classes 1 and 2, curve is determined by the following and 7 inches on track Classes 3 through formula— 5. The outside rail of a curve may not

Where— service load condition, compliance

Vmax = Maximum allowable posted timetable with the requirements of either para- operating speed (m.p.h.). graph (d)(1) or (2) of this section. Ea = Actual elevation of the outside rail (1) When positioned on a track with a (inches).1 2 uniform superelevation equal to the Eu = Qualified cant deficiency (inches) of the vehicle type. proposed cant deficiency: D = Degree of curvature (degrees).3 (i) No wheel of the vehicle type un- (c) All vehicles are considered quali- loads to a value less than 60 percent of fied for operating on track with a cant its static value on perfectly level deficiency, Eu, not exceeding 3 inches. track; and Table 1 of appendix A to this part is a (ii) For passenger cars, the roll angle table of speeds computed in accordance between the floor of the equipment and with the formula in paragraph (b) of the horizontal does not exceed 8.6 de- this section, when Eu equals 3 inches, grees; or for various elevations and degrees of (2) When operating through a con- curvature. stant radius curve at a constant speed (d) Each vehicle type must be ap- corresponding to the proposed cant de- proved by FRA to operate on track ficiency, and a test plan is submitted with a qualified cant deficiency, E , u to and approved by FRA in accordance greater than 3 inches. Each vehicle with § 213.345(e) and (f): type must demonstrate, in a ready-for- (i) The steady-state (average) load on

1 any wheel, throughout the body of the Actual elevation, Ea, for each 155-foot track segment in the body of the curve is de- curve, is not less than 60 percent of its termined by averaging the elevation for 11 static value on perfectly level track; points through the segment at 15.5-foot spac- and ing. If the curve length is less than 155 feet, (ii) For passenger cars, the steady- the points are averaged through the full state (average) lateral acceleration length of the body of the curve. 2 measured on the floor of the carbody If the actual elevation, Ea, and degree of curvature, D, change as a result of track deg- does not exceed 0.15g. radation, then the actual cant deficiency for (e) The track owner or railroad shall the maximum allowable posted timetable op- transmit the results of the testing erating speed, Vmax, may be greater than the specified in paragraph (d) of this sec- qualified cant deficiency, Eu. This actual tion to FRA’s Associate Administrator cant deficiency for each curve may not ex- for Railroad Safety/Chief Safety Officer ceed the qualified cant deficiency, Eu, plus 1 inch. (FRA) requesting approval for the vehi- 3 Degree of curvature, D, is determined by cle type to operate at the desired curv- averaging the degree of curvature over the ing speeds allowed under the formula same track segment as the elevation.

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in paragraph (b) of this section. The re- (h)(1) Vehicle types permitted by quest shall be made in writing and con- FRA to operate at cant deficiencies, Eu, tain, at a minimum, the following in- greater than 3 inches but not more formation— than 5 inches shall be considered quali- (1) A description of the vehicle type fied under this section to operate at involved, including schematic dia- those permitted cant deficiencies for grams of the suspension system(s) and any track segment. The track owner or the estimated location of the center of railroad shall notify FRA in writing no gravity above top of rail; less than 30 calendar days prior to the (2) The test procedure,4 including the proposed implementation of such curv- load condition under which the testing ing speeds in accordance with para- was performed, and description of the graph (f) of this section. instrumentation used to qualify the ve- (2) Vehicle types permitted by FRA hicle type, as well as the maximum to operate at cant deficiencies, Eu, values for wheel unloading and roll an- greater than 5 inches shall be consid- gles or accelerations that were ob- ered qualified under this section to op- served during testing; and erate at those permitted cant defi- (3) For vehicle types not subject to ciencies only for the previously oper- parts 229 or 238 of this chapter, proce- ated or identified track segments(s). dures or standards in effect that relate (i) For vehicle types intended to op- to the maintenance of all safety-crit- erate at any curving speed producing ical components of the suspension sys- more than 5 inches of cant deficiency, tem(s) for the particular vehicle type. the following provisions of subpart G of Safety-critical components of the sus- this part shall apply: §§ 213.333(a) pension system are those that impact through (g), (j)(1), (k) and (m), 213.345, or have significant influence on the and 213.369(f). roll of the carbody and the distribution (j) As used in this section— of weight on the wheels. (f) In approving the request made (1) Vehicle means a locomotive, as de- pursuant to paragraph (e) of this sec- fined in § 229.5 of this chapter; a freight tion, FRA may impose conditions nec- car, as defined in § 215.5 of this chapter; essary for safely operating at the high- a passenger car, as defined in § 238.5 of er curving speeds. Upon FRA approval this chapter; and any rail rolling equip- of the request, the track owner or rail- ment used in a train with either a road shall notify FRA in writing no freight car or a passenger car. less than 30 calendar days prior to the (2) Vehicle type means like vehicles proposed implementation of the ap- with variations in their physical prop- proved higher curving speeds allowed erties, such as suspension, mass, inte- under the formula in paragraph (b) of rior arrangements, and dimensions this section. The notification shall con- that do not result in significant tain, at a minimum, identification of changes to their dynamic characteris- the track segment(s) on which the tics. higher curving speeds are to be imple- [78 FR 16101, Mar. 13, 2013] mented. (g) The documents required by this § 213.59 Elevation of curved track; section must be provided to FRA by: runoff. (1) The track owner; or (a) If a curve is elevated, the full ele- (2) A railroad that provides service vation shall be provided throughout with the same vehicle type over track- the curve, unless physical conditions age of one or more track owner(s), with do not permit. If elevation runoff oc- the written consent of each affected curs in a curve, the actual minimum track owner. elevation shall be used in computing the maximum allowable posted time- 4 The test procedure may be conducted table operating speed for that curve whereby all the wheels on one side (right or under § 213.57(b). left) of the vehicle are raised to the proposed cant deficiency, the vertical wheel loads (b) Elevation runoff shall be at a uni- under each wheel are measured, and a level form rate, within the limits of track is used to record the angle through which the surface deviation prescribed in § 213.63, floor of the vehicle has been rotated. and it shall extend at least the full

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length of the spirals. If physical condi- § 213.63 Track surface. tions do not permit a spiral long enough to accommodate the minimum (a) Except as provided in paragraph length of runoff, part of the runoff may (b) of this section, each track owner be on tangent track. shall maintain the surface of its track within the limits prescribed in the fol- [63 FR 34029, June 22, 1998, as amended at 78 lowing table: FR 16101, Mar. 13, 2013]

Class of track Track surface (inches) 1 2 3 4 5

The runoff in any 31 feet of rail at the end of a raise may not be more than ..... 31⁄2 3 2 11⁄2 1 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 3 23⁄4 21⁄4 2 11⁄4 The deviation from zero crosslevel at any point on tangent or reverse crosslevel elevation on curves may not be more than ...... 3 2 13⁄4 11⁄4 1 The difference in crosslevel between any two points less than 62 feet apart may not be more than*1, 2 ...... 3 21⁄4 2 13⁄4 11⁄2 *Where determined by engineering decision prior to June 22, 1998, due to physical restrictions on spiral length and operating practices and experience, the variation in crosslevel on spirals per 31 feet may not be more than ...... 2 13⁄4 11⁄4 1 3⁄4 1 Except as limited by § 213.57(a), where the elevation at any point in a curve equals or exceeds 6 inches, the difference in crosslevel within 62 feet between that point and a point with greater elevation may not be more than 11⁄2 inches. 2 However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel differences shall not exceed 11⁄4 inches in all of six consecutive pairs of joints, as created by seven low joints. Track with joints staggered less than 10 feet apart shall not be considered as having staggered joints. Joints within the seven low joints outside of the regular joint spacing shall not be considered as joints for purposes of this footnote.

(b) For operations at a qualified cant surface of the curve within the limits deficiency, Eu, of more than 5 inches, prescribed in the following table: each track owner shall maintain the

Class of track Track surface (inches) 1 2 3 4 5

The deviation from uniform profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... N/A1 N/A1 1 1 1 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 21⁄4 21⁄4 13⁄4 11⁄4 1 The difference in crosslevel between any two points less than 10 feet apart (short warp) shall not be more than ...... 2 2 13⁄4 13⁄4 11⁄2 1 N/A—Not Applicable.

[78 FR 16101, Mar. 13, 2013]

§ 213.65 Combined track alinement inches, the combination of alinement and surface deviations. and surface deviations for the same On any curved track where oper- chord length on the outside rail in the ations are conducted at a qualified curve, as measured by a TGMS, shall cant deficiency, Eu, greater than 5 comply with the following formula:

Where— AL = allowable alinement limit as per Am = measured alinement deviation from § 213.55(b) (always positive) for the class uniformity (outward is positive, inward of track. is negative).

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Sm = measured profile deviation from uni- SL = allowable profile limit as per § 213.63(b) formity (down is positive, up is nega- (always positive) for the class of track. tive).

[78 FR 16102, Mar. 13, 2013] (3) At least one non-defective crosstie of the type specified in paragraphs (c) Subpart D—Track Structure and (d) of this section that is located at a joint location as specified in para- § 213.101 Scope. graph (e) of this section; and This subpart prescribes minimum re- (4) The minimum number of crossties quirements for ballast, crossties, track as indicated in the following table. assembly fittings, and the physical Tangent track, turnouts, and conditions of rails. curves

§ 213.103 Ballast; general. FRA track class Tangent track Turnouts and and curved curved track Unless it is otherwise structurally track less than or equal to 2 greater than 2 supported, all track shall be supported degrees degrees by material which will— (a) Transmit and distribute the load Class 1 ...... 5 6 Class 2 ...... 8 9 of the track and railroad rolling equip- Class 3 ...... 8 10 ment to the subgrade; Class 4 and 5 ...... 12 14 (b) Restrain the track laterally, longitudinally, and vertically under dy- (c) Crossties, other than concrete, namic loads imposed by railroad roll- counted to satisfy the requirements set ing equipment and thermal stress ex- forth in paragraph (b)(4) of this section erted by the rails; shall not be— (c) Provide adequate drainage for the (1) Broken through; track; and (2) Split or otherwise impaired to the (d) Maintain proper track crosslevel, extent the crosstie will allow the bal- surface, and alinement. last to work through, or will not hold spikes or rail fasteners; § 213.109 Crossties. (3) So deteriorated that the crosstie (a) Crossties shall be made of a mate- plate or base of rail can move laterally rial to which rail can be securely fas- 1⁄2 inch relative to the crosstie; or tened. (4) Cut by the crosstie plate through (b) Each 39-foot segment of track more than 40 percent of a crosstie’s shall have at a minimum— thickness. (1) A sufficient number of crossties (d) Concrete crossties counted to sat- that in combination provide effective isfy the requirements set forth in para- support that will— graph (b)(4) of this section shall not (i) Hold gage within the limits pre- be— scribed in § 213.53(b); (1) Broken through or deteriorated to (ii) Maintain surface within the lim- the extent that prestressing material is its prescribed in § 213.63; and visible; (iii) Maintain alinement within the (2) Deteriorated or broken off in the limits prescribed in § 213.55; vicinity of the shoulder or insert so (2) The minimum number and type of that the fastener assembly can either crossties specified in paragraph (b)(4) pull out or move laterally more than 3⁄8 of this section and described in para- inch relative to the crosstie; graph (c) or (d), as applicable, of this (3) Deteriorated such that the base of section effectively distributed to sup- either rail can move laterally more port the entire segment; than 3⁄8 inch relative to the crosstie on

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curves of 2 degrees or greater; or can (e) Class 1 and 2 track shall have one move laterally more than 1⁄2 inch rel- crosstie whose centerline is within 24 ative to the crosstie on tangent track inches of each rail joint (end) location. or curves of less than 2 degrees; Class 3, 4, and 5 track shall have either (4) Deteriorated or abraded at any one crosstie whose centerline is within point under the rail seat to a depth of 18 inches of each rail joint location or 1 ⁄2 inch or more; two crossties whose centerlines are (5) Deteriorated such that the cross- within 24 inches either side of each rail tie’s fastening or anchoring system, in- joint location. The relative position of cluding rail anchors (see § 213.127(b)), is these crossties is described in the fol- unable to maintain longitudinal rail lowing three diagrams: restraint, or maintain rail hold down, or maintain gage due to insufficient (1) Each rail joint in Class 1 and 2 fastener toeload; or track shall be supported by at least one (6) Configured with less than two fas- crosstie specified in paragraphs (c) and teners on the same rail except as pro- (d) of this section whose centerline is vided in § 213.127(c). within 48 inches as shown in Figure 1.

(2) Each rail joint in Class 3, 4, and 5 graphs (c) and (d) of this section whose track shall be supported by either at centerline is within 36 inches as shown least one crosstie specified in para- in Figure 2, or:

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(3) Two crossties, one on each side of within 24 inches of the rail joint loca- the rail joint, whose centerlines are tion as shown in Figure 3.

(f) For track constructed without (2) The most recent record of million crossties, such as slab track, track con- gross tons of traffic per year over the nected directly to bridge structural identified segment(s). components, track over servicing pits, (c)(1) The track owner shall also pro- etc., the track structure shall meet the vide to FRA sufficient technical data requirements of paragraph (b)(1) of this to establish compliance with the fol- section. lowing minimum design requirements of a GRMS vehicle: [76 FR 18084, Apr. 1, 2011] (2) Gage restraint shall be measured between the heads of rail— § 213.110 Gage restraint measurement (i) At an interval not exceeding 16 systems. inches; (a) A track owner may elect to imple- (ii) Under an applied vertical load of ment a Gage Restraint Measurement no less than 10 kips per rail; and System (GRMS), supplemented by the (iii) Under an applied lateral load use of a Portable Track Loading Fix- that provides for a lateral/vertical load ture (PTLF), to determine compliance ratio of between 0.5 and 1.25 5, and a with the crosstie and fastener require- load severity greater than 3 kips but ments specified in §§ 213.109 and 213.127 less than 8 kips per rail. provided that— (d) Load severity is defined by the (1) The track owner notifies the ap- formula: propriate FRA Regional office at least S = L¥cV 30 days prior to the designation of any Where— line segment on which GRMS tech- S = Load severity, defined as the lateral load nology will be implemented; and applied to the fastener system (kips). (2) The track owner notifies the ap- L = Actual lateral load applied (kips). propriate FRA Regional office at least c = Coefficient of friction between rail/tie, 10 days prior to the removal of any line which is assigned a nominal value of 0.4. segment from GRMS designation. V = Actual vertical load applied (kips), or static vertical wheel load if vertical load (b) Initial notification under para- is not measured. graph (a)(1) of this section shall include— 5 (1) Identification of the line seg- GRMS equipment using load combina- tions developing L/V ratios that exceed 0.8 ment(s) by timetable designation, shall be operated with caution to protect milepost limits, class of track, or other against the risk of wheel climb by the test identifying criteria; and wheelset.

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(e) The measured gage values shall be LTG = Loaded track gage measured by the converted to a Projected Loaded Gage GRMS vehicle at a point no more than 12 24 (PLG24) as follows— inches from the lateral load application point. PLG24 = UTG + A × (LTG¥UTG) A = The extrapolation factor used to convert Where— the measured loaded gage to expected UTG = Unloaded track gage measured by the loaded gage under a 24-kip lateral load GRMS vehicle at a point no less than 10 and a 33-kip vertical load. feet from any lateral or vertical load ap- For all track— plication.

NOTE: The A factor shall not exceed a value (f) The measured gage and load val- of 3.184 under any valid loading configura- ues shall be converted to a Gage Wid- tion. ening Projection (GWP) as follows: L = Actual lateral load applied (kips). V = Actual vertical load applied (kips), or static vertical wheel load if vertical load is not measured.

(g) The GRMS vehicle shall be capa- made on the ground and those recorded ble of producing output reports that by the instrumentation with respect to provide a trace, on a constant-distance loaded and unloaded gage parameters; scale, of all parameters specified in and paragraph (l) of this section. (2) Maintain each PTLF used for de- (h) The GRMS vehicle shall be capa- termining compliance with the require- ble of providing an exception report ments of this section such that the containing a systematic listing of all 4,000-pound reading is accurate to with- exceptions, by magnitude and location, in five percent of that reading. to all the parameters specified in para- (k) The track owner shall provide graph (l) of this section. training in GRMS technology to all (i) The exception reports required by persons designated as fully qualified this section shall be provided to the ap- under § 213.7 and whose territories are propriate person designated as fully subject to the requirements of this sec- qualified under § 213.7 prior to the next tion. The training program shall be inspection required under § 213.233. made available to the Federal Railroad (j) The track owner shall institute Administration upon request. At a the necessary procedures for maintain- minimum, the training program shall ing the integrity of the data collected address— by the GRMS and PTLF systems. At a (1) Basic GRMS procedures; minimum, the track owner shall— (2) Interpretation and handling of ex- (1) Maintain and make available to ception reports generated by the GRMS the Federal Railroad Administration vehicle; documented calibration procedures on (3) Locating and verifying defects in each GRMS vehicle which, at a min- the field; imum, shall specify a daily instrument (4) Remedial action requirements; verification procedure that will ensure (5) Use and calibration of the PTLF; correlation between measurements and

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(6) Recordkeeping requirements. shall initiate the required remedial ac- (l) The GRMS record of lateral re- tion at each exception level as defined straint shall identify two exception in the following table— levels. At a minimum, the track owner

GRMS parameters1 If measurement value exceeds Remedial action required

First Level Exception

UTG ...... 58 inches...... (1) Immediately protect the exception location with a 10 m.p.h. speed restriction, then verify location; (2) Restore lateral restraint and maintain in compliance with PTLF criteria as described in paragraph (m) of this section; and (3) Maintain compliance with § 213.53(b) as measured with the PTLF. LTG ...... 58 inches. PLG24 ...... 59 inches. GWP ...... 1 inch.

Second Level Exception

LTG ...... 57 d inches on Class 4 and 5 (1) Limit operating speed to no more than the maximum al- track 2. lowable under § 213.9 for Class 3 track, then verify location; (2) Maintain in compliance with PTLF criteria as described in paragraph (m) of this section; and (3) Maintain compliance with § 213.53(b) as measured with the PTLF. PLG24 ...... 58 inches. GWP ...... 0.75 inch. 1 Definitions for the GRMS parameters referenced in this table are found in paragraph (p) of this section. 2 This note recognizes that good track will typically increase in total gage by as much as one-quarter of an inch due to outward rail rotation under GRMS loading conditions. For Class 2 and 3 track, the GRMS LTG values are also increased by one-quarter of inch to a maximum of 58 inches. However, for any class of track, GRMS LTG values in excess of 58 inches are considered First Level exceptions and the appropriate remedial action(s) must be taken by the track owner. This 1/4-inch increase in allowable gage applies only to GRMS LTG. For gage measured by traditional methods, or with the use of the PTLF, the table in § 213.53(b) applies.

(m) Between GRMS inspections, the (2) Gage widening in excess of 5⁄8 inch PTLF may be used as an additional an- shall constitute a deviation from Class alytical tool to assist fully qualified 1 standards. § 213.7 individuals in determining com- (3) A person designated as fully quali- pliance with the crosstie and fastener fied under § 213.7 retains the discre- requirements of §§ 213.109 and 213.127. tionary authority to prescribe addi- When the PTLF is used, whether as an tional remedial actions for those loca- additional analytical tool or to fulfill tions which comply with the require- the requirements of paragraph (l), it ments of paragraph (m)(1)(i) and (ii) of shall be used subject to the following this section. criteria— (4) When a functional PTLF is not (1) At any location along the track available to a fully qualified person that the PTLF is applied, that location designated under § 213.7, the criteria for will be deemed in compliance with the determining crosstie and fastener com- crosstie and fastener requirements pliance shall be based solely on the re- specified in §§ 213.109 and 213.127 pro- quirements specified in §§ 213.109 and vided that— 213.127. (i) The total gage widening at that (5) If the PTLF becomes non-func- location does not exceed 5⁄8 inch when tional or is missing, the track owner increasing the applied force from 0 to will replace or repair it before the next 4,000 pounds; and inspection required under § 213.233. (ii) The gage of the track under 4,000 (6) Where vertical loading of the pounds of applied force does not exceed track is necessary for contact with the the allowable gage prescribed in lateral rail restraint components, a § 213.53(b) for the class of track. PTLF test will not be considered valid until contact with these components is

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restored under static loading condi- quirements specify an L/V ratio of be- tions. tween 0.5 and 1.25. (n) The track owner shall maintain a (4) Load severity means the amount of record of the two most recent GRMS lateral load applied to the fastener sys- inspections at locations which meet tem after friction between rail and tie the requirements specified in is overcome by any applied gage-wid- § 213.241(b). At a minimum, records ening lateral load. shall indicate the following— (5) Loaded Track Gage (LTG) means (1) Location and nature of each First the gage measured by the GRMS vehi- Level exception; and cle at a point no more than 12 inches (2) Nature and date of remedial ac- from the lateral load application point. tion, if any, for each exception identi- (6) Portable Track Loading Fixture fied in paragraph (n)(1) of this section. (PTLF) means a portable track loading (o) The inspection interval for des- device capable of applying an increas- ignated GRMS line segments shall be ing lateral force from 0 to 4,000 pounds such that— on the web/base fillet of each rail si- (1) On line segments where the an- multaneously. nual tonnage exceeds two million gross (7) Projected Loaded Gage (PLG) means tons, or where the maximum operating an extrapolated value for loaded gage speeds for passenger trains exceeds 30 calculated from actual measured loads mph, GRMS inspections must be per- and deflections. PLG 24 means the ex- formed annually at an interval not to trapolated value for loaded gage under exceed 14 months; or a 24,000 pound lateral load and a 33,000 (2) On line segments where the an- pound vertical load. nual tonnage is two million gross tons (8) Unloaded Track Gage (UTG) means or less and the maximum operating the gage measured by the GRMS vehi- speed for passenger trains does not ex- cle at a point no less than 10 feet from ceed 30 mph, the interval between any lateral or vertical load. GRMS inspections must not exceed 24 [66 FR 1899, Jan. 10, 2001; 66 FR 8372, Jan. 31, months. 2001, as amended at 78 FR 16102, Mar. 13, 2013] (p) As used in this section— (1) Gage Restraint Measurement System § 213.113 Defective rails. (GRMS) means a track loading vehicle (a) When an owner of track to which meeting the minimum design require- this part applies learns, through in- ments specified in this section. spection or otherwise, that a rail in (2) Gage Widening Projection (GWP) that track contains any of the defects means the measured gage widening, listed in the following table, a person which is the difference between loaded designated under § 213.7 shall determine and unloaded gage, at the applied whether or not the track may continue loads, projected to reference loads of 16 in use. If he determines that the track kips of lateral force and 33 kips of may continue in use, operation over vertical force. the defective rail is not permitted (3) L/V ratio means the numerical until— ratio of lateral load applied at a point (1) The rail is replaced; or on the rail to the vertical load applied (2) The remedial action prescribed in at that same point. GRMS design re- the table is initiated.

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NOTES: A. Assign person designated under A2. Assign person designated under § 213.7 § 213.7 to visually supervise each operation to make visual inspection. After a visual in- over defective rail. spection, that person may authorize operation to continue without continuous visual

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supervision at a maximum of 10 m.p.h. for up crystalline center or nucleus inside the to 24 hours prior to another such visual in- head from which it spreads outward as spection or replacement or repair of the rail. a smooth, bright, or dark, round or B. Limit operating speed over defective rail to that as authorized by a person des- oval surface substantially at a right ignated under § 213.7(a), who has at least one angle to the length of the rail. The dis- year of supervisory experience in railroad tinguishing features of a transverse fis- track maintenance. The operating speed can- sure from other types of fractures or not be over 30 m.p.h. or the maximum allow- defects are the crystalline center or able speed under § 213.9 for the class of track nucleus and the nearly smooth surface concerned, whichever is lower. of the development which surrounds it. C. Apply joint bars bolted only through the outermost holes to defect within 20 days (2) Compound fissure means a progres- after it is determined to continue the track sive fracture originating in a hori- in use. In the case of Classes 3 through 5 zontal split head which turns up or track, limit operating speed over defective down in the head of the rail as a rail to 30 m.p.h. until joint bars are applied; smooth, bright, or dark surface pro- thereafter, limit speed to 50 m.p.h. or the gressing until substantially at a right maximum allowable speed under § 213.9 for angle to the length of the rail. Com- the class of track concerned, whichever is pound fissures require examination of lower. When a search for internal rail defects is conducted under § 213.237, and defects are both faces of the fracture to locate the discovered in Classes 3 through 5 which re- horizontal split head from which they quire remedial action C, the operating speed originate. shall be limited to 50 m.p.h., or the max- (3) Horizontal split head means a hori- imum allowable speed under § 213.9 for the zontal progressive defect originating class of track concerned, whichever is lower, inside of the rail head, usually one- for a period not to exceed 4 days. If the defec- quarter inch or more below the running tive rail has not been removed from the track or a permanent repair made within 4 surface and progressing horizontally in days of the discovery, limit operating speed all directions, and generally accom- over the defective rail to 30 m.p.h. until joint panied by a flat spot on the running bars are applied; thereafter, limit speed to 50 surface. The defect appears as a crack m.p.h. or the maximum allowable speed lengthwise of the rail when it reaches under § 213.9 for the class of track concerned, the side of the rail head. whichever is lower. (4) Vertical split head means a vertical D. Apply joint bars bolted only through the split through or near the middle of the outermost holes to defect within 10 days after it is determined to continue the track head, and extending into or through it. in use. In the case of Classes 3 through 5 A crack or rust streak may show under track, limit operating speed over the defec- the head close to the web or pieces may tive rail to 30 m.p.h. or less as authorized by be split off the side of the head. a person designated under § 213.7(a), who has (5) Split web means a lengthwise at least one year of supervisory experience in crack along the side of the web and ex- railroad track maintenance, until joint bars tending into or through it. are applied; thereafter, limit speed to 50 (6) Piped rail means a vertical split in m.p.h. or the maximum allowable speed under § 213.9 for the class of track concerned, a rail, usually in the web, due to fail- whichever is lower. ure of the shrinkage cavity in the ingot E. Apply joint bars to defect and bolt in ac- to unite in rolling. cordance with § 213.121(d) and (e). (7) Broken base means any break in F. Inspect rail 90 days after it is deter- the base of the rail. mined to continue the track in use. (8) Detail fracture means a progressive G. Inspect rail 30 days after it is deter- fracture originating at or near the sur- mined to continue the track in use. H. Limit operating speed over defective face of the rail head. These fractures rail to 50 m.p.h. or the maximum allowable should not be confused with transverse speed under § 213.9 for the class of track con- fissures, compound fissures, or other cerned, whichever is lower. defects which have internal origins. I. Limit operating speed over defective rail Detail fractures may arise from shelly to 30 m.p.h. or the maximum allowable speed spots, head checks, or flaking. under § 213.9 for the class of track concerned, (9) Engine burn fracture means a pro- whichever is lower. gressive fracture originating in spots (b) As used in this section— where driving wheels have slipped on (1) Transverse fissure means a progres- top of the rail head. In developing sive crosswise fracture starting from a downward they frequently resemble the

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compound or even transverse fissures separating the head from the web of with which they should not be confused the rail at the head fillet area. or classified. [63 FR 34029, June 22, 1998; 63 FR 51639, Sept. (10) Ordinary break means a partial or 28, 1998] complete break in which there is no sign of a fissure, and in which none of § 213.115 Rail end mismatch. the other defects described in this Any mismatch of rails at joints may paragraph (b) are found. not be more than that prescribed by (11) Damaged rail means any rail bro- the following table— ken or injured by wrecks, broken, flat, or unbalanced wheels, slipping, or simi- Any mismatch of rails at joints may lar causes. not be more than the following— (12) Flattened rail means a short Class of track On the gage side On the tread of of the rail ends length of rail, not at a joint, which has the rail ends (inch) (inch) flattened out across the width of the Class 1 track ...... 1⁄4 1⁄4 rail head to a depth of 3⁄8 inch or more Class 2 track ...... 1⁄4 3⁄16 below the rest of the rail. Flattened Class 3 track ...... 3⁄16 3⁄16 rail occurrences have no repetitive reg- Class 4 and 5 track 1⁄8 1⁄8 ularity and thus do not include cor- rugations, and have no apparent local- § 213.118 Continuous welded rail ized cause such as a weld or engine (CWR); plan review and approval. burn. Their individual length is rel- (a) Each track owner with track con- atively short, as compared to a condi- structed of CWR shall have in effect tion such as head flow on the low rail and comply with a plan that contains of curves. written procedures which address: the (13) Bolt hole crack means a crack installation, adjustment, maintenance, across the web, originating from a bolt and inspection of CWR; inspection of hole, and progressing on a path either CWR joints; and a training program for inclined upward toward the rail head or the application of those procedures. inclined downward toward the base. (b) The track owner shall file its Fully developed bolt hole cracks may CWR plan with the FRA Associate Ad- continue horizontally along the head/ ministrator for Railroad Safety/Chief web or base/web fillet, or they may Safety Officer (Associate Adminis- progress into and through the head or trator). Within 30 days of receipt of the base to separate a piece of the rail end submission, FRA will review the plan from the rail. Multiple cracks occur- for compliance with this subpart. FRA ring in one rail end are considered to will approve, disapprove or condi- be a single defect. However, bolt hole tionally approve the submitted plan, cracks occurring in adjacent rail ends and will provide written notice of its within the same joint must be reported determination. as separate defects. (c) The track owner’s existing plan (14) Defective weld means a field or shall remain in effect until the track plant weld containing any discontinu- owner’s new plan is approved or condi- ities or pockets, exceeding 5 percent of tionally approved and is effective pur- the rail head area individually or 10 suant to paragraph (d) of this section. percent in the aggregate, oriented in or (d) The track owner shall, upon re- near the transverse plane, due to in- ceipt of FRA’s approval or conditional complete penetration of the weld metal approval, establish the plan’s effective between the rail ends, lack of fusion date. The track owner shall advise in between weld and rail end metal, en- writing FRA and all affected employees trainment of slag or sand, under-bead of the effective date. or other shrinkage cracking, or fatigue (e) FRA, for cause stated, may, sub- cracking. Weld defects may originate sequent to plan approval or conditional in the rail head, web, or base, and in approval, require revisions to the plan some cases, cracks may progress from to bring the plan into conformity with the defect into either or both adjoining this subpart. Notice of a revision re- rail ends. quirement shall be made in writing and (15) Head and web separation means a specify the basis of FRA’s requirement. progressive fracture, longitudinally The track owner may, within 30 days of

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the revision requirement, respond and (i) Weld the joint; provide written submissions in support (ii) Replace the broken bar(s), replace of the original plan. FRA renders a the broken bolts, adjust the anchors final decision in writing. Not more and, within 30 days, weld the joint; than 30 days following any final deci- (iii) Replace the broken bar(s), re- sion requiring revisions to a CWR plan, place the broken bolts, install one ad- the track owner shall amend the plan ditional bolt per rail end, and adjust in accordance with FRA’s decision and anchors; resubmit the conforming plan. The (iv) Replace the broken bar(s), re- conforming plan becomes effective place the broken bolts, and anchor upon its submission to FRA. every tie 195 feet in both directions [74 FR 43002, Aug. 25, 2009] from the CWR joint; or (v) Replace the broken bar(s), replace § 213.119 Continuous welded rail the broken bolts, add rail with provi- (CWR); plan contents. sions for later adjustment pursuant to The track owner shall comply with paragraph (d)(2) of this section, and re- the contents of the CWR plan approved apply the anchors. or conditionally approved under (d) Procedures which specifically ad- § 213.118. The plan shall contain the fol- dress maintaining a desired rail instal- lowing elements— lation temperature range when cutting (a) Procedures for the installation CWR, including rail repairs, in-track and adjustment of CWR which in- welding, and in conjunction with ad- clude— justments made in the area of tight (1) Designation of a desired rail in- track, a track buckle, or a pull-apart. stallation temperature range for the Rail repair practices shall take into geographic area in which the CWR is consideration existing rail temperature located; and so that— (2) De-stressing procedures/methods (1) When rail is removed, the length which address proper attainment of the installed shall be determined by taking desired rail installation temperature into consideration the existing rail range when adjusting CWR. temperature and the desired rail instal- (b) Rail anchoring or fastening relation temperature range; and quirements that will provide sufficient (2) Under no circumstances should restraint to limit longitudinal rail and rail be added when the rail tempera- crosstie movement to the extent prac- ture is below that designated by para- tical, and specifically addressing CWR graph (a)(1) of this section, without rail anchoring or fastening patterns on provisions for later adjustment. bridges, bridge approaches, and at (e) Procedures which address the other locations where possible longitu- monitoring of CWR in curved track for dinal rail and crosstie movement asso- inward shifts of alinement toward the ciated with normally expected train-in- center of the curve as a result of dis- duced forces, is restricted. (c) CWR joint installation and main- turbed track. tenance procedures which require (f) Procedures which govern train that— speed on CWR track when— (1) Each rail shall be bolted with at (1) Maintenance work, track rehabili- least two bolts at each CWR joint; tation, track construction, or any (2) In the case of a bolted joint in- other event occurs which disturbs the stalled during CWR installation after roadbed or ballast section and reduces October 21, 2009, the track owner shall the lateral or longitudinal resistance of either, within 60 days— the track; and (i) Weld the joint; (2) The difference between the aver- (ii) Install a joint with six bolts; or age rail temperature and the average (iii) Anchor every tie 195 feet in both rail neutral temperature is in a range directions from the joint; and that causes buckling-prone conditions (3) In the case of a bolted joint in to be present at a specific location; and CWR experiencing service failure or a (3) In formulating the procedures failed bar with a rail gap present, the under paragraphs (f)(1) and (f)(2) of this track owner shall either— section, the track owner shall—

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(i) Determine the speed required, and cluding, at a minimum, periodic on- the duration and subsequent removal foot inspections; of any speed restriction based on the (2) Identify joint bars with visible or restoration of the ballast, along with otherwise detectable cracks and con- sufficient ballast re-consolidation to duct remedial action pursuant to stabilize the track to a level that can § 213.121; accommodate expected train-induced (3) Specify the conditions of actual or forces. Ballast re-consolidation can be potential joint failure for which per- achieved through either the passage of sonnel must inspect, including, at a train tonnage or mechanical stabiliza- minimum, the following items: tion procedures, or both; and (i) Loose, bent, or missing joint bolts; (ii) Take into consideration the type of crossties used. (ii) Rail end batter or mismatch that (g) Procedures which prescribe when contributes to instability of the joint; physical track inspections are to be and performed. (iii) Evidence of excessive longitu- (1) At a minimum, these procedures dinal rail movement in or near the shall address inspecting track to iden- joint, including, but not limited to; tify— wide rail gap, defective joint bolts, dis- (i) Buckling-prone conditions in CWR turbed ballast, surface deviations, gap track, including— between tie plates and rail, or dis- (A) Locations where tight or kinky placed rail anchors; rail conditions are likely to occur; and (4) Specify the procedures for the in- (B) Locations where track work of spection of CWR joints that are the nature described in paragraph imbedded in highway-rail crossings or (f)(1)(i) of this section has recently in other structures that prevent a com- been performed; and plete inspection of the joint, including (ii) Pull-apart prone conditions in procedures for the removal from the CWR track, including locations where joint of loose material or other tem- pull-apart or stripped-joint rail condi- porary material; tions are likely to occur; and (5) Specify the appropriate corrective (2) In formulating the procedures under paragraph (g)(1) of this section, actions to be taken when personnel the track owner shall— find conditions of actual or potential (i) Specify when the inspections will joint failure, including on-foot follow- be conducted; and up inspections to monitor conditions of (ii) Specify the appropriate remedial potential joint failure in any period actions to be taken when either buck- prior to completion of repairs; ling-prone or pull-apart prone condi- (6) Specify the timing of periodic in- tions are found. spections, which shall be based on the (h) Procedures which prescribe the configuration and condition of the scheduling and conduct of inspections joint: to detect cracks and other indications (i) Except as provided in paragraphs of potential failures in CWR joints. In (h)(6)(ii) through (h)(6)(iv) of this sec- formulating the procedures under this tion, track owners must specify that paragraph, the track owner shall— all CWR joints are inspected, at a min- (1) Address the inspection of joints imum, in accordance with the intervals and the track structure at joints, in- identified in the following table:

MINIMUM NUMBER OF INSPECTIONS PER CALENDAR YEAR 1

Freight trains operating over track with an annual Passenger trains operating tonnage of: over track with an annual tonnage of: Less than 40 Greater than Greater than mgt 40 to 60 mgt 60 mgt Less than 20 or equal to 20 mgt mgt

Class 5 & above ...... 2 3 2 42 32 32 Class 4 ...... 2 3 2 42 2 3 2 Class 3...... 1 2 2 2 2 Class 2...... 0 0 0 1 1

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MINIMUM NUMBER OF INSPECTIONS PER CALENDAR YEAR 1—Continued

Class 1...... 0 0 0 0 0 Excepted Track ...... 0 0 0 n/a n/a

4 = Four times per calendar year, with one inspection in each of the following periods: January to March, April to June, July to September, and October to December; and with consecutive inspections separated by at least 60 calendar days. 3 = Three times per calendar year, with one inspection in each of the following periods: January to April, May to August, and September to December; and with consecutive inspections separated by at least 90 calendar days. 2 = Twice per calendar year, with one inspection in each of the following periods: January to June and July to December; and with consecutive inspections separated by at least 120 calendar days. 1 = Once per calendar year, with consecutive inspections separated by at least 180 calendar days. 1 Where a track owner operates both freight and passenger trains over a given segment of track, and there are two different possible inspection interval requirements, the more frequent inspection interval applies. 2 When extreme weather conditions prevent a track owner from conducting an inspection of a particular territory within the required interval, the track owner may extend the interval by up to 30 calendar days from the last day that the extreme weather condition prevented the required inspection.

(ii) Consistent with any limitations the requirements in § 213.241. A track applied by the track owner, a passenger owner may include in its § 213.235 in- train conducting an unscheduled de- spections, in lieu of the joint inspec- tour operation may proceed over track tions required by paragraph (h)(6)(i) of not normally used for passenger oper- this section, CWR joints that are lo- ations at a speed not to exceed the cated in track structure that is adja- maximum authorized speed otherwise cent to switches and turnouts, provided allowed, even though CWR joints have that the track owner precisely defines not been inspected in accordance with the parameters of that arrangement in the frequency identified in paragraph the CWR plans. (h)(6)(i) of this section, provided that: (7) Specify the recordkeeping require- (A) All CWR joints have been in- ments related to joint bars in CWR, inspected consistent with requirements cluding the following: for freight service; and (i) The track owner shall keep a (B) The unscheduled detour operation record of each periodic and follow-up lasts no more than 14 consecutive cal- inspection required to be performed by endar days. In order to continue oper- the track owner’s CWR plan, except for ations beyond the 14-day period, the those inspections conducted pursuant track owner must inspect the CWR to § 213.235 for which track owners must joints in accordance with the require- maintain records pursuant to § 213.241. ments of paragraph (h)(6)(i) of this sec- The record shall be prepared on the day tion. the inspection is made and signed by (iii) Tourist, scenic, historic, or ex- the person making the inspection. The cursion operations, if limited to the record shall include, at a minimum, maximum authorized speed for pas- the following items: the boundaries of senger trains over the next lower class the territory inspected; the nature and of track, need not be considered in de- location of any deviations at the joint termining the frequency of inspections from the requirements of this part or under paragraph (h)(6)(i) of this sec- of the track owner’s CWR plan, with tion. the location identified with sufficient (iv) All CWR joints that are located precision that personnel could return in switches, turnouts, track crossings, to the joint and identify it without am- lift rail assemblies or other transition biguity; the date of the inspection; the devices on moveable bridges must be remedial action, corrective action, or inspected on foot at least monthly, both, that has been taken or will be consistent with the requirements in taken; and the name or identification § 213.235; and all records of those inspec- number of the person who made the in- tions must be kept in accordance with spection.

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(ii) The track owner shall generate a (i) The track owner shall submit the Fracture Report for every cracked or proposed alternate procedures and a broken CWR joint bar that the track supporting statement of justification owner discovers during the course of an to the Associate Administrator. inspection conducted pursuant to (ii) If the Associate Administrator § 213.119(g), § 213.233, or § 213.235 on track finds that the proposed alternate pro- that is required under § 213.119(h)(6)(i) cedures provide an equivalent or higher to be inspected. level of safety than the requirements (A) The Fracture Report shall be pre- in paragraphs (h)(1) through (h)(7) of pared on the day the cracked or broken this section, the Associate Adminis- joint bar is discovered. The Report trator will approve the alternate proce- shall include, at a minimum: the rail- dures by notifying the track owner in road name; the location of the joint bar writing. The Associate Administrator as identified by milepost and subdivi- will specify in the written notification sion; the class of track; annual million the date on which the procedures will gross tons for the previous calendar become effective, and after that date, year; the date of discovery of the crack the track owner shall comply with the or break; the rail section; the type of procedures. If the Associate Adminis- bar (standard, insulated, or com- trator determines that the alternate promise); the number of holes in the procedures do not provide an equiva- joint bar; a general description of the lent level of safety, the Associate Ad- location of the crack or break in bar; ministrator will disapprove the alter- the visible length of the crack in nate procedures in writing, and the inches; the gap measurement between track owner shall continue to comply rail ends; the amount and length of rail with the requirements in paragraphs end batter or ramp on each rail end; (h)(1) through (h)(7) of this section. the amount of tread mismatch; the (iii) While a determination is pending vertical movement of joint; and in with the Associate Administrator on a curves or spirals, the amount of gage request submitted pursuant to paragraph (h)(8) of this section, the track mismatch and the lateral movement of owner shall continue to comply with the joint. the requirements contained in para- (B) The track owner shall submit the graphs (h)(1) through (h)(7) of this sec- information contained in the Fracture tion. Reports to the FRA Associate Adminis- (i) The track owner shall have in ef- trator twice annually, by July 31 for fect a comprehensive training program the preceding six-month period from for the application of these written January 1 through June 30 and by Jan- CWR procedures, with provisions for uary 31 for the preceding six-month pe- annual re-training, for those individ- riod from July 1 through December 31. uals designated under § 213.7(c) as quali- (C) After February 1, 2010, any track fied to supervise the installation, ad- owner may petition FRA to conduct a justment, and maintenance of CWR technical conference to review the track and to perform inspections of Fracture Report data submitted CWR track. The track owner shall through December of 2009 and assess make the training program available whether there is a continued need for for review by FRA upon request. the collection of Fracture Report data. (j) The track owner shall prescribe The track owner shall submit a written and comply with recordkeeping re- request to the Associate Adminis- quirements necessary to provide an trator, requesting the technical con- adequate history of track constructed ference and explaining the reasons for with CWR. At a minimum, these proposing to discontinue the collection records must include: of the data. (1) Rail temperature, location, and (8) In lieu of the requirements for the date of CWR installations. Each record inspection of rail joints contained in shall be retained for at least one year; paragraphs (h)(1) through (h)(7) of this (2) A record of any CWR installation section, a track owner may seek ap- or maintenance work that does not proval from FRA to use alternate pro- conform to the written procedures. cedures. Such record shall include the location

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of the rail and be maintained until the Desired rail installation temperature CWR is brought into conformance with range means the rail temperature such procedures; and range, within a specific geographical (3) Information on inspection of rail area, at which forces in CWR should joints as specified in paragraph (h)(7) of not cause a buckling incident in ex- this section. treme heat, or a pull apart during ex- (k) The track owner shall make read- treme cold weather. ily available, at every job site where Disturbed track means the disturbance personnel are assigned to install, in- of the roadbed or ballast section, as a spect or maintain CWR, a copy of the result of track maintenance or any track owner’s CWR procedures and all other event, which reduces the lateral revisions, appendices, updates, and ref- or longitudinal resistance of the track, erenced materials related thereto prior or both. to their effective date. Such CWR pro- Mechanical stabilization means a type cedures shall be issued and maintained of procedure used to restore track re- in one CWR standards and procedures sistance to disturbed track following manual. certain maintenance operations. This (l) As used in this section— procedure may incorporate dynamic Adjusting/de-stressing means a proce- track stabilizers or ballast dure by which a rail’s neutral tempera- consolidators, which are units of work ture is re-adjusted to the desired value. equipment that are used as a sub- It typically consists of cutting the rail stitute for the stabilization action pro- and removing rail anchoring devices, vided by the passage of tonnage trains. which provides for the necessary ex- Pull apart or stripped joint means a pansion and contraction, and then re- condition when no bolts are mounted assembling the track. through a joint on the rail end, rending Annual re-training means training the joint bar ineffective due to exces- every calendar year. sive expansive or contractive forces. Buckling incident means the forma- Pull-apart prone condition means a tion of a lateral misalignment suffi- condition when the actual rail tem- cient in magnitude to constitute a de- perature is below the rail neutral tem- viation from the Class 1 requirements perature at or near a joint where longi- specified in § 213.55. These normally tudinal tensile forces may affect the occur when rail temperatures are rel- fastenings at the joint. atively high and are caused by high Rail anchors mean those devices longitudinal compressive forces. which are attached to the rail and bear Buckling-prone condition means a against the side of the crosstie to con- track condition that can result in the trol longitudinal rail movement. Cer- track being laterally displaced due to tain types of rail fasteners also act as high compression forces caused by crit- rail anchors and control longitudinal ical rail temperature combined with rail movement by exerting a downward insufficient track strength and/or train clamping force on the upper surface of dynamics. the rail base. Continuous welded rail (CWR) means Rail neutral temperature is the tem- rail that has been welded together into perature at which the rail is neither in lengths exceeding 400 feet. Rail in- compression nor tension. stalled as CWR remains CWR, regard- Rail temperature means the tempera- less of whether a joint or plug is in- ture of the rail, measured with a rail stalled into the rail at a later time. thermometer. Corrective actions mean those actions Remedial actions mean those actions which track owners specify in their which track owners are required to CWR plans to address conditions of ac- take as a result of requirements of this tual or potential joint failure, includ- part to address a non-compliant condi- ing, as applicable, repair, restrictions tion. on operations, and additional on-foot Tight/kinky rail means CWR which ex- inspections. hibits minute alinement irregularities CWR joint means any joint directly which indicate that the rail is in a con- connected to CWR. siderable amount of compression.

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Tourist, scenic, historic, or excursion paragraph do not apply. Those loca- operations mean railroad operations tions when over 400 feet in length, are that carry passengers with the convey- considered to be continuous welded rail ance of the passengers to a particular track and shall meet all the require- destination not being the principal pur- ments for continuous welded rail track pose. prescribed in this part. Track lateral resistance means the re- (g) No rail shall have a bolt hole sistance provided by the rail/crosstie which is torch cut or burned in Classes structure against lateral displacement. 2 through 5 track. For Class 2 track, Track longitudinal resistance means this paragraph (g) is applicable Sep- the resistance provided by the rail an- tember 21, 1999. chors/rail fasteners and the ballast sec- (h) No joint bar shall be reconfigured tion to the rail/crosstie structure by torch cutting in Classes 3 through 5 against longitudinal displacement. track. Train-induced forces means the vertical, longitudinal, and lateral dy- § 213.122 Torch cut rail. namic forces which are generated dur- (a) Except as a temporary repair in ing train movement and which can con- emergency situations no rail having a tribute to the buckling potential of the torch cut end shall be used in Classes 3 rail. through 5 track. When a rail end is Unscheduled detour operation means a torch cut in emergency situations, short-term, unscheduled operation train speed over that rail end shall not where a track owner has no more than exceed the maximum allowable for 14 calendar days’ notice that the oper- Class 2 track. For existing torch cut ation is going to occur. rail ends in Classes 3 through 5 track [74 FR 43002, Aug. 25, 2009, as amended at 74 the following shall apply— FR 53889, Oct. 21, 2009; 75 FR 4705, Jan. 29, (1) Within one year of September 21, 2010] 1998, all torch cut rail ends in Class 5 track shall be removed; § 213.121 Rail joints. (2) Within two years of September 21, (a) Each rail joint, insulated joint, 1998, all torch cut rail ends in Class 4 and compromise joint shall be of a track shall be removed; and structurally sound design and dimen- (3) Within one year of September 21, sions for the rail on which it is applied. 1998, all torch cut rail ends in Class 3 (b) If a joint bar on Classes 3 through track over which regularly scheduled 5 track is cracked, broken, or because passenger trains operate, shall be of wear allows excessive vertical move- inventoried by the track owner. ment of either rail when all bolts are (b) Following the expiration of the tight, it shall be replaced. time limits specified in paragraphs (c) If a joint bar is cracked or broken (a)(1), (2), and (3) of this section, any between the middle two bolt holes it torch cut rail end not removed from shall be replaced. Classes 4 and 5 track, or any torch cut (d) In the case of conventional joint- rail end not inventoried in Class 3 ed track, each rail shall be bolted with track over which regularly scheduled at least two bolts at each joint in passenger trains operate, shall be re- Classes 2 through 5 track, and with at moved within 30 days of discovery. least one bolt in Class 1 track. Train speed over that rail end shall not (e) In the case of continuous welded exceed the maximum allowable for rail track, each rail shall be bolted Class 2 track until removed. with at least two bolts at each joint. (f) Each joint bar shall be held in po- § 213.123 Tie plates. sition by track bolts tightened to allow (a) In Classes 3 through 5 track where the joint bar to firmly support the timber crossties are in use there shall abutting rail ends and to allow longitu- be tie plates under the running rails on dinal movement of the rail in the joint at least eight of any 10 consecutive to accommodate expansion and con- ties. traction due to temperature variations. (b) In Classes 3 through 5 track no When no-slip, joint-to-rail contact ex- metal object which causes a con- ists by design, the requirements of this centrated load by solely supporting a

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rail shall be allowed between the base point to the stock rail. Broken or of the rail and the bearing surface of cracked switch point rails will be sub- the tie plate. This paragraph (b) is ap- ject to the requirements of § 213.113, ex- plicable September 21, 1999.) cept that where remedial actions C, D, or E require the use of joint bars, and § 213.127 Rail fastening systems. joint bars cannot be placed due to the (a) Track shall be fastened by a sys- physical configuration of the switch, tem of components that effectively remedial action B will govern, taking maintains gage within the limits pre- into account any added safety provided scribed in § 213.53(b). Each component by the presence of reinforcing bars on of each such system shall be evaluated the switch points. to determine whether gage is effectively being maintained. (c) Each switch shall be maintained (b) If rail anchors are applied to con- so that the outer edge of the wheel crete crossties, the combination of the tread cannot contact the gage side of crossties, fasteners, and rail anchors the stock rail. must provide effective longitudinal re- (d) The heel of each switch rail shall straint. be secure and the bolts in each heel (c) Where fastener placement im- shall be kept tight. pedes insulated joints from performing (e) Each switch stand and connecting as intended, the fastener may be modi- rod shall be securely fastened and oper- fied or removed, provided that the able without excessive lost motion. crosstie supports the rail. (f) Each throw lever shall be main- [76 FR 18086, Apr. 1, 2011] tained so that it cannot be operated with the lock or keeper in place. § 213.133 Turnouts and track crossings (g) Each switch position indicator generally. shall be clearly visible at all times. (a) In turnouts and track crossings, (h) Unusually chipped or worn switch the fastenings shall be intact and points shall be repaired or replaced. maintained so as to keep the compo- Metal flow shall be removed to insure nents securely in place. Also, each proper closure. switch, frog, and guard rail shall be (i) Tongue & Plain Mate switches, kept free of obstructions that may which by design exceed Class 1 and ex- interfere with the passage of wheels. (b) Classes 3 through 5 track shall be cepted track maximum gage limits, are equipped with rail anchoring through permitted in Class 1 and excepted and on each side of track crossings and track. turnouts, to restrain rail movement affecting the position of switch points § 213.137 Frogs. and frogs. For Class 3 track, this para- (a) The flangeway depth measured graph (b) is applicable September 21, from a plane across the wheel-bearing 1999.) area of a frog on Class 1 track shall not (c) Each flangeway at turnouts and be less than 13⁄8 inches, or less than 11⁄2 track crossings shall be at least 11⁄2 inches on Classes 2 through 5 track. inches wide. (b) If a frog point is chipped, broken, § 213.135 Switches. or worn more than five-eighths inch down and 6 inches back, operating (a) Each stock rail must be securely speed over the frog shall not be more seated in switch plates, but care shall than 10 m.p.h. be used to avoid canting the rail by overtightening the rail braces. (c) If the tread portion of a frog cast- (b) Each switch point shall fit its ing is worn down more than three- stock rail properly, with the switch eighths inch below the original con- stand in either of its closed positions tour, operating speed over that frog to allow wheels to pass the switch shall not be more than 10 m.p.h. point. Lateral and vertical movement (d) Where frogs are designed as of a stock rail in the switch plates or of flange-bearing, flangeway depth may a switch plate on a tie shall not ad- be less than that shown for Class 1 if versely affect the fit of the switch operated at Class 1 speeds.

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§ 213.139 Spring rail frogs. § 213.141 Self-guarded frogs. (a) The outer edge of a wheel tread (a) The raised guard on a self-guarded shall not contact the gage side of a frog shall not be worn more than three- spring wing rail. eighths of an inch. (b) The toe of each wing rail shall be (b) If repairs are made to a self- solidly tamped and fully and tightly guarded frog without removing it from bolted. service, the guarding face shall be re- (c) Each frog with a bolt hole defect stored before rebuilding the point. or head-web separation shall be replaced. § 213.143 Frog guard rails and guard (d) Each spring shall have compres- faces; gage. sion sufficient to hold the wing rail against the point rail. The guard check and guard face (e) The clearance between the gages in frogs shall be within the lim- holddown housing and the horn shall its prescribed in the following table— not be more than one-fourth of an inch.

Guard face gage Guard check gage The distance between guard The distance between the gage line of a frog 1 1 lines , measured across the Class of track to the guard line of its guard rail or guarding track at right angles to the face, measured across the track at right an- 2 2 gage line , may not be more gles to the gage line , may not be less than— than—

Class 1 track ...... 4′61⁄8″ ...... 4′ 51⁄4″ Class 2 track ...... 4′61⁄4″ ...... 4′ 51⁄8″ Class 3 and 4 track ...... 4′ 63⁄8″ ...... 4′51⁄8″ Class 5 track ...... 4′61⁄2″ ...... 4′ 5″ 1 A line along that side of the flangeway which is nearer to the center of the track and at the same elevation as the gage line. 2 A line 5⁄8 inch below the top of the center line of the head of the running rail, or corresponding location of the tread portion of the track structure.

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Subpart E—Track Appliances and visual inspection. If a vehicle is used Track-Related Devices for visual inspection, the speed of the vehicle may not be more than 5 miles § 213.201 Scope. per hour when passing over track This subpart prescribes minimum re- crossings and turnouts, otherwise, the quirements for certain track appli- inspection vehicle speed shall be at the ances and track-related devices. sole discretion of the inspector, based on track conditions and inspection re- § 213.205 Derails. quirements. When riding over the track (a) Each derail shall be clearly visi- in a vehicle, the inspection will be sub- ble. ject to the following conditions— (b) When in a locked position, a de- (1) One inspector in a vehicle may in- rail shall be free of lost motion which spect up to two tracks at one time pro- would prevent it from performing its vided that the inspector’s visibility re- intended function. mains unobstructed by any cause and (c) Each derail shall be maintained to that the second track is not centered function as intended. more than 30 feet from the track upon (d) Each derail shall be properly in- which the inspector is riding; stalled for the rail to which it is ap- (2) Two inspectors in one vehicle may plied. (This paragraph (d) is applicable inspect up to four tracks at a time pro- September 21, 1999.) vided that the inspectors’ visibility remains unobstructed by any cause and Subpart F—Inspection that each track being inspected is centered within 39 feet from the track § 213.231 Scope. upon which the inspectors are riding; This subpart prescribes requirements (3) Each main track is actually tra- for the frequency and manner of in- versed by the vehicle or inspected on specting track to detect deviations foot at least once every two weeks, and from the standards prescribed in this each siding is actually traversed by the part. vehicle or inspected on foot at least once every month. On high density § 213.233 Track inspections. commuter railroad lines where track (a) All track shall be inspected in ac- time does not permit an on track vehi- cordance with the schedule prescribed cle inspection, and where track centers in paragraph (c) of this section by a are 15 foot or less, the requirements of person designated under § 213.7. this paragraph (b)(3) will not apply; (b) Each inspection shall be made on and foot or by riding over the track in a ve- (4) Track inspection records shall in- hicle at a speed that allows the person dicate which track(s) are traversed by making the inspection to visually in- the vehicle or inspected on foot as out- spect the track structure for compli- lined in paragraph (b)(3) of this section. ance with this part. However, mechan- (c) Each track inspection shall be ical, electrical, and other track inspec- made in accordance with the following tion devices may be used to supplement schedule—

Class of track Type of track Required frequency

Excepted track and Class 1, 2, and 3 Main track and sidings ...... Weekly with at least 3 calendar days in- track. terval between inspections, or before use, if the track is used less than once a week, or twice weekly with at least 1 calendar day interval between inspections, if the track carries passenger trains or more than 10 million gross tons of traffic during the preceding calendar year. Excepted track and Class 1, 2, and 3 Other than main track and sidings ...... Monthly with at least 20 calendar days track. interval between inspections. Class 4 and 5 track ...... Twice weekly with at least 1 calendar day interval between inspections.

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(d) If the person making the inspec- interruption shall be reinspected with- tion finds a deviation from the require- in 45 days of the resumption of train ments of this part, the inspector shall operations by a walking or automated immediately initiate remedial action. inspection. If this inspection is conducted as a walking inspection, the NOTE TO § 213.233: Except as provided in paragraph (b) of this section, no part of this next inspection shall be an automated section will in any way be construed to limit inspection as prescribed in this para- the inspector’s discretion as it involves in- graph. spection speed and sight distance. (c) Nonapplication. Sections of tangent track 600 feet or less constructed § 213.234 Automated inspection of of concrete crossties, including, but track constructed with concrete not limited to, isolated track seg- crossties. ments, experimental or test track seg- (a) General. Except for track de- ments, highway-rail crossings, and scribed in paragraph (c) of this section, wayside detectors, are excluded from the provisions in this section are appli- the requirements of this section. cable on and after July 1, 2012. In addi- (d) Performance standard for automated tion to the track inspection required inspection measurement system. The under § 213.233, for Class 3 main track automated inspection measurement constructed with concrete crossties system must be capable of indicating over which regularly scheduled pas- and processing rail seat deterioration senger service trains operate, and for requirements that specify the fol- Class 4 and 5 main track constructed lowing: with concrete crossties, automated in- (1) An accuracy, to within 1⁄8 of an spection technology shall be used as in- inch; dicated in paragraph (b) of this section, (2) A distance-based sampling inter- as a supplement to visual inspection, val, which shall not exceed five feet; by Class I railroads (including Am- and trak), Class II railroads, other inter- (3) Calibration procedures and param- city passenger railroads, and commuter eters assigned to the system, which as- railroads or small governmental juris- sure that indicated and recorded values dictions that serve populations greater accurately represent rail seat deterio- than 50,000. Automated inspection shall ration. identify and report exceptions to condi- (e) Exception reports to be produced by tions described in § 213.109(d)(4). system; duty to field-verify exceptions. (b) Frequency of automated inspections. The automated inspection measure- Automated inspections shall be con- ment system shall produce an excep- ducted at the following frequencies: tion report containing a systematic (1) If annual tonnage on Class 4 and 5 listing of all exceptions to main track and Class 3 main track § 213.109(d)(4), identified so that an ap- with regularly scheduled passenger propriate person(s) designated as fully service, exceeds 40 million gross tons qualified under § 213.7 can field-verify (mgt) annually, at least twice each cal- each exception. endar year, with no less than 160 days (1) Exception reports must be pro- between inspections. vided to or be made available to all (2) If annual tonnage on Class 4 and 5 persons designated as fully qualified main track and Class 3 main track under § 213.7 and whose territories are with regularly scheduled passenger subject to the requirements of § 213.234. service is equal to or less than 40 mgt (2) Each exception must be located annually, at least once each calendar and field-verified no later than 48 hours year. after the automated inspection. (3) On Class 3, 4, and 5 main track (3) All field-verified exceptions are with exclusively passenger service, ei- subject to all the requirements of this ther an automated inspection or walk- part. ing inspection must be conducted once (4) Exception reports must note areas per calendar year. identified between 3⁄8 of an inch and 1⁄2 (4) Track not inspected in accordance of an inch as an ‘‘alert.’’ with paragraph (b)(1) or (b)(2) of this (f) Recordkeeping requirements. The section because of train operation track owner shall maintain and make

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available to FRA a record of the in- sition device shall be inspected on foot spection data and the exception record at least monthly. for the track inspected in accordance (b) Each switch in Classes 3 through with this paragraph for a minimum of 5 track that is held in position only by two years. The exception reports must the operating mechanism and one con- include the following: necting rod shall be operated to all of (1) Date and location of limits of the its positions during one inspection in inspection; every 3 month period. (2) Type and location of each excep- (c) In the case of track that is used tion; less than once a month, each switch, (3) Results of field verification; and turnout, track crossing, and moveable (4) Remedial action if required. bridge lift rail assembly or other tran- (g) Procedures for integrity of data. The sition device shall be inspected on foot track owner shall institute the nec- before it is used. essary procedures for maintaining the integrity of the data collected by the § 213.237 Inspection of rail. measurement system. At a minimum, (a) In addition to the track inspec- the track owner shall do the following: tions required by § 213.233, a continuous (1) Maintain and make available to search for internal defects shall be FRA documented calibration proce- made of all rail in Classes 4 through 5 dures of the measurement system that, track, and Class 3 track over which at a minimum, specify an instrument passenger trains operate, at least once verification procedure that ensures every 40 million gross tons (mgt) or correlation between measurements once a year, whichever interval is made on the ground and those recorded shorter. On Class 3 track over which by the instrumentation; and passenger trains do not operate such a (2) Maintain each instrument used search shall be made at least once for determining compliance with this every 30 mgt or once a year, whichever section such that it accurately pro- interval is longer. (This paragraph (a) vides an indication of the depth of rail is applicable January 1, 1999. seat deterioration in accordance with paragraph (d)(1) of this section. (b) Inspection equipment shall be ca- (h) Training. The track owner shall pable of detecting defects between provide annual training in handling joint bars, in the area enclosed by joint rail seat deterioration exceptions to all bars. persons designated as fully qualified (c) Each defective rail shall be under § 213.7 and whose territories are marked with a highly visible marking subject to the requirements of § 213.234. on both sides of the web and base. At a minimum, the training shall ad- (d) If the person assigned to operate dress the following: the rail defect detection equipment (1) Interpretation and handling of the being used determines that, due to rail exception reports generated by the surface conditions, a valid search for automated inspection measurement internal defects could not be made over system; a particular length of track, the test (2) Locating and verifying exceptions on that particular length of track can- in the field and required remedial ac- not be considered as a search for inter- tion; and nal defects under paragraph (a) of this (3) Recordkeeping requirements. section. (This paragraph (d) is not ret- roactive to tests performed prior to [76 FR 18086, Apr. 1, 2011, as amended at 76 September 21, 1998. FR 55825, Sept. 9, 2011] (e) If a valid search for internal de- § 213.235 Inspection of switches, track fects cannot be conducted for reasons crossings, and lift rail assemblies or described in paragraph (d) of this sec- other transition devices on move- tion, the track owner shall, before the able bridges. expiration of time or tonnage limits— (a) Except as provided in paragraph (1) Conduct a valid search for inter- (c) of this section, each switch, turn- nal defects; out, track crossing, and moveable (2) Reduce operating speed to a max- bridge lift rail assembly or other tran- imum of 25 miles per hour until such

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time as a valid search for internal de- transfer records through electronic fects can be made; or transmission, storage, and retrieval (3) Remove the rail from service. provided that— (1) The electronic system be designed § 213.239 Special inspections. so that the integrity of each record is In the event of fire, flood, severe maintained through appropriate levels storm, or other occurrence which of security such as recognition of an might have damaged track structure, a electronic signature, or other means, special inspection shall be made of the which uniquely identify the initiating track involved as soon as possible after person as the author of that record. No the occurrence and, if possible, before two persons shall have the same elec- the operation of any train over that tronic identity; track. (2) The electronic storage of each § 213.241 Inspection records. record shall be initiated by the person (a) Each owner of track to which this making the inspection within 24 hours part applies shall keep a record of each following the completion of that in- inspection required to be performed on spection; that track under this subpart. (3) The electronic system shall en- (b) Each record of an inspection sure that each record cannot be modi- under §§ 213.4, 213.119, 213.233, and 213.235 fied in any way, or replaced, once the shall be prepared on the day the inspec- record is transmitted and stored; tion is made and signed by the person (4) Any amendment to a record shall making the inspection. Records shall be electronically stored apart from the specify the track inspected, date of in- record which it amends. Each amend- spection, location and nature of any ment to a record shall be uniquely deviation from the requirements of this identified as to the person making the part, and the remedial action taken by amendment; the person making the inspection. The (5) The electronic system shall pro- owner shall designate the location(s) vide for the maintenance of inspection where each original record shall be records as originally submitted with- maintained for at least one year after out corruption or loss of data; the inspection covered by the record. The owner shall also designate one lo- (6) Paper copies of electronic records cation, within 100 miles of each state in and amendments to those records, that which they conduct operations, where may be necessary to document compli- copies of records which apply to those ance with this part shall be made avail- operations are either maintained or able for inspection and copying by the can be viewed following 10 days notice Federal Railroad Administration at the by the Federal Railroad Administra- locations specified in paragraph (b) of tion. this section; and (c) Rail inspection records shall (7) Track inspection records shall be specify the date of inspection, the loca- kept available to persons who per- tion and nature of any internal defects formed the inspections and to persons found, the remedial action taken and performing subsequent inspections. the date thereof, and the location of any intervals of track not tested per [63 FR 34029, June 22, 1998, as amended at 70 § 213.237(d). The owner shall retain a FR 66298, Nov. 2, 2005] rail inspection record for at least two years after the inspection and for one Subpart G—Train Operations at year after remedial action is taken. Track Classes 6 and Higher (d) Each owner required to keep inspection records under this section § 213.301 Scope of subpart. shall make those records available for This subpart applies to all track used inspection and copying by the Federal for the operation of trains at a speed Railroad Administration. greater than 90 m.p.h. for passenger (e) For purposes of compliance with equipment and greater than 80 m.p.h. the requirements of this section, an owner of track may maintain and for freight equipment.

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§ 213.303 Responsibility for compli- employee of a contractor who is not a ance. railroad employee, designated to: (a) Any owner of track to which this (a) Supervise restorations and renew- subpart applies who knows or has no- als of track shall meet the following tice that the track does not comply minimum requirements: with the requirements of this subpart, (1) At least; shall— (i) Five years of responsible super- (1) Bring the track into compliance; visory experience in railroad track or maintenance in track Class 4 or higher (2) Halt operations over that track. and the successful completion of a (b) If an owner of track to which this course offered by the employer or by a subpart applies assigns responsibility college level engineering program, sup- for the track to another person (by plemented by special on the job train- lease or otherwise), notification of the ing emphasizing the techniques to be assignment shall be provided to the ap- employed in the supervision, restora- propriate FRA Regional Office at least tion, and renewal of high speed track; 30 days in advance of the assignment. or The notification may be made by any (ii) A combination of at least one party to that assignment, but shall be year of responsible supervisory experi- in writing and include the following— ence in track maintenance in Class 4 or (1) The name and address of the track higher and the successful completion of owner; a minimum of 80 hours of specialized (2) The name and address of the per- training in the maintenance of high son to whom responsibility is assigned speed track provided by the employer (assignee); or by a college level engineering pro- (3) A statement of the exact relation- gram, supplemented by special on the ship between the track owner and the job training provided by the employer assignee; with emphasis on the maintenance of (4) A precise identification of the high speed track; or track; (iii) A combination of at least two (5) A statement as to the competence years of experience in track mainte- and ability of the assignee to carry out nance in track Class 4 or higher and the duties of the track owner under the successful completion of a min- this subpart; imum of 120 hours of specialized train- (6) A statement signed by the as- ing in the maintenance of high speed signee acknowledging the assignment track provided by the employer or by a to that person of responsibility for pur- college level engineering program sup- poses of compliance with this subpart. plemented by special on the job train- (c) The Administrator may hold the ing provided by the employer with em- track owner or the assignee or both re- phasis on the maintenance of high sponsible for compliance with this sub- speed track. part and subject to the penalties under § 213.15. (2) Demonstrate to the track owner (d) When any person, including a con- that the individual: tractor for a railroad or track owner, (i) Knows and understands the re- performs any function required by this quirements of this subpart that apply part, that person is required to perform to the restoration and renewal of the that function in accordance with this track for which he or she is respon- part. sible; (ii) Can detect deviations from those § 213.305 Designation of qualified indi- requirements; and viduals; general qualifications. (iii) Can prescribe appropriate reme- Each track owner to which this sub- dial action to correct or safely com- part applies shall designate qualified pensate for those deviations; and individuals responsible for the mainte- (3) Be authorized in writing by the nance and inspection of track in com- track owner to prescribe remedial ac- pliance with the safety requirements tions to correct or safely compensate prescribed in this subpart. Each indi- for deviations from the requirements of vidual, including a contractor or an this subpart and successful completion

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of a recorded examination on this sub- that inspect continuous welded rail part as part of the qualification proc- (CWR) track or supervise the installa- ess. tion, adjustment, and maintenance of (b) Inspect track for defects shall CWR in accordance with the written meet the following minimum qualifica- procedures established by the track tions: owner shall have: (1) At least: (1) Current qualifications under ei- (i) Five years of responsible experi- ther paragraph (a) or (b) of this sec- ence inspecting track in Class 4 or tion; above and the successful completion of (2) Successfully completed a training a course offered by the employer or by course of at least eight hours duration a college level engineering program, specifically developed for the applica- supplemented by special on the job tion of written CWR procedures issued training emphasizing the techniques to by the track owner; and be employed in the inspection of high (3) Demonstrated to the track owner speed track; or that the individual: (ii) A combination of at least one (i) Knows and understands the re- year of responsible experience in track quirements of those written CWR pro- inspection in Class 4 or above and the cedures; successful completion of a minimum of 80 hours of specialized training in the (ii) Can detect deviations from those inspection of high speed track provided requirements; and by the employer or by a college level (iii) Can prescribe appropriate reme- engineering program, supplemented by dial action to correct or safely com- special on the job training provided by pensate for those deviations; and the employer with emphasis on the in- (4) Written authorization from the spection of high speed track; or track owner to prescribe remedial ac- (iii) A combination of at least two tions to correct or safely compensate years of experience in track mainte- for deviations from the requirements in nance in Class 4 or above and the suc- those procedures and successful com- cessful completion of a minimum of 120 pletion of a recorded examination on hours of specialized training in the in- those procedures as part of the quali- spection of high speed track provided fication process. The recorded exam- by the employer or from a college level ination may be written, or it may be a engineering program, supplemented by computer file with the results of an special on the job training provided by interactive training course. the employer with emphasis on the in- (d) Persons not fully qualified to su- spection of high speed track. pervise certain renewals and inspect (2) Demonstrate to the track owner track as outlined in paragraphs (a), (b) that the individual: and (c) of this section, but with at least (i) Knows and understands the re- one year of maintenance of way or sig- quirements of this subpart that apply nal experience, may pass trains over to the inspection of the track for which broken rails and pull aparts provided he or she is responsible. that— (ii) Can detect deviations from those (1) The track owner determines the requirements; and person to be qualified and, as part of (iii) Can prescribe appropriate reme- doing so, trains, examines, and re-ex- dial action to correct or safely com- amines the person periodically within pensate for those deviations; and two years after each prior examination (3) Be authorized in writing by the on the following topics as they relate track owner to prescribe remedial ac- to the safe passage of trains over bro- tions to correct or safely compensate ken rails or pull aparts: rail defect for deviations from the requirements in identification, crosstie condition, this subpart and successful completion track surface and alinement, gage re- of a recorded examination on this sub- straint, rail end mismatch, joint bars, part as part of the qualification proc- and maximum distance between rail ess. ends over which trains may be allowed (c) Individuals designated under to pass. The sole purpose of the exam- paragraphs (a) or (b) of this section ination is to ascertain the person’s

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ability to effectively apply these re- The maximum al- quirements and the examination may lowable Over track that meets all of the require- operating not be used to disqualify the person ments prescribed in this subpart for— speed for from other duties. A minimum of four trains is 1 hours training is adequate for initial Class 9 track ...... 220 m.p.h.2 training; 1 Freight may be transported at passenger train speeds if (2) The person deems it safe, and the following conditions are met: (1) The vehicles utilized to carry such freight are of equal train speeds are limited to a maximum dynamic performance and have been qualified in accordance of 10 m.p.h. over the broken rail or pull with § 213.329 and § 213.345. (2) The load distribution and securement in the freight vehi- apart; cle will not adversely affect the dynamic performance of the (3) The person shall watch all move- vehicle. The axle loading pattern is uniform and does not exceed the passenger locomotive axle loadings utilized in pas- ments over the broken rail or pull senger service, if any, operating at the same maximum apart and be prepared to stop the train speed. (3) No carrier may accept or transport a hazardous mate- if necessary; and rial, as defined at 49 CFR 171.8, except as provided in Col- umn 9A of the Hazardous Materials Table (49 CFR 172.101) (4) Person(s) fully qualified under for movement in the same train as a passenger-carrying vehi- § 213.305 of this subpart are notified and cle or in Column 9B of the Table for movement in a train with no passenger-carrying vehicles. dispatched to the location as soon as 2 Operating speeds in excess of 125 m.p.h. are authorized practicable for the purpose of author- by this part only in conjunction with FRA regulatory approval addressing other safety issues presented by the railroad sys- izing movements and effectuating tem- tem. For operations on a dedicated right-of-way, FRA’s regu- porary or permanent repairs. latory approval may allow for the use of inspection and maintenance criteria and procedures in the alternative to those (e) With respect to designations contained in this subpart, based upon a showing that at least under paragraphs (a), (b), (c) and (d) of an equivalent level of safety is provided. this section, each track owner shall (b) If a segment of track does not maintain written records of: meet all of the requirements for its in- (1) Each designation in effect; tended class, it is to be reclassified to (2) The basis for each designation, in- the next lower class of track for which cluding but not limited to: it does meet all of the requirements of (i) The exact nature of any training this subpart. If a segment does not courses attended and the dates thereof; meet all of the requirements for Class (ii) The manner in which the track 6, the requirements for Classes 1 owner has determined a successful through 5 apply. completion of that training course, in- [63 FR 34029, June 22, 1998, as amended at 78 cluding test scores or other qualifying FR 16104, Mar. 13, 2013] results; (3) Track inspections made by each § 213.309 Restoration or renewal of individual as required by § 213.369. track under traffic conditions. These records shall be made available (a) Restoration or renewal of track for inspection and copying by the Fed- under traffic conditions is limited to eral Railroad Administration during the replacement of worn, broken, or regular business hours. missing components or fastenings that [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. do not affect the safe passage of trains. 28, 1998, as amended at 78 FR 16103, Mar. 13, (b) The following activities are ex- 2013] pressly prohibited under traffic conditions: § 213.307 Classes of track: operating (1) Any work that interrupts rail con- speed limits. tinuity, e.g., as in joint bar replace- (a) Except as provided in paragraph ment or rail replacement; (b) of this section and as otherwise pro- (2) Any work that adversely affects vided in this subpart G, the following the lateral or vertical stability of the maximum allowable speeds apply: track with the exception of spot tamp- ing an isolated condition where not The maximum al- more than 15 lineal feet of track are in- Over track that meets all of the require- lowable volved at any one time and the ambi- operating ments prescribed in this subpart for— speed for ent air temperature is not above 95 de- trains is 1 grees Fahrenheit; and Class 6 track ...... 110 m.p.h. (3) Removal and replacement of the Class 7 track ...... 125 m.p.h. rail fastenings on more than one tie at Class 8 track ...... 160 m.p.h.2 a time within 15 feet.

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§ 213.311 Measuring track not under lishes a notice containing the reasons load. for granting the waiver. When unloaded track is measured to § 213.319 Drainage. determine compliance with requirements of this subpart, evidence of rail Each drainage or other water car- movement, if any, that occurs while rying facility under or immediately ad- the track is loaded shall be added to jacent to the roadbed shall be main- the measurements of the unloaded tained and kept free of obstruction, to track. accommodate expected water flow for the area concerned. § 213.313 Application of requirements to curved track. § 213.321 Vegetation. Unless otherwise provided in this Vegetation on railroad property part, requirements specified for curved which is on or immediately adjacent to track apply only to track having a cur- roadbed shall be controlled so that it vature greater than 0.25 degree. does not— (a) Become a fire hazard to track-car- [78 FR 16104, Mar. 13, 2013] rying structures; (b) Obstruct visibility of railroad § 213.317 Waivers. signs and signals: (a) Any owner of track to which this (1) Along the right of way, and subpart applies may petition the Fed- (2) At highway-rail crossings; eral Railroad Administrator for a waiv- (c) Interfere with railroad employees er from any or all requirements pre- performing normal trackside duties; scribed in this subpart. (d) Prevent proper functioning of sig- (b) Each petition for a waiver under nal and communication lines; or this section shall be filed in the man- (e) Prevent railroad employees from ner and contain the information re- visually inspecting moving equipment quired by §§ 211.7 and 211.9 of this chap- from their normal duty stations. ter. (c) If the Administrator finds that a § 213.323 Track gage. waiver is in the public interest and is (a) Gage is measured between the consistent with railroad safety, the Ad- heads of the rails at right-angles to the ministrator may grant the waiver sub- rails in a plane five-eighths of an inch ject to any conditions the Adminis- below the top of the rail head. trator deems necessary. Where a waiv- (b) Gage shall be within the limits er is granted, the Administrator pub- prescribed in the following table:

The change of The gage gage within 31 Class of track must be at But not more feet must not least— than— be greater than—

Class 6 track ...... 4′8″ 4′91⁄4″ 3⁄4″ Class 7 track ...... 4′8″ 4′91⁄4″ 1⁄2″ Class 8 track ...... 4′8″ 4′91⁄4″ 1⁄2″ Class 9 track ...... 4′81⁄4″ 4′91⁄4″ 1⁄2″

[63 FR 34029, June 22, 1998, as amended at 78 Chord length Spacing FR 16104, Mar. 13, 2013] 31′ ...... 7′9″ § 213.327 Track alinement. 62′ ...... 15′6″ 124′ ...... 31′0″ (a) Uniformity at any point along the track is established by averaging the (b) Except as provided in paragraph measured mid-chord offset values for (c) of this section, a single alinement nine consecutive points that are cen- deviation from uniformity may not be tered around that point and spaced ac- more than the amount prescribed in cording to the following table: the following table:

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The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track Tangent/ offset for a 31- offset for a 62- offset for a 124- Curved track foot chord may foot chord may foot chord may not be more not be more not be more than—(inches) than—(inches) than—(inches)

Class 6 track ...... Tangent ...... 1⁄2 3⁄4 11⁄2 Curved ...... 1⁄2 5⁄8 11⁄2 Class 7 track ...... Tangent ...... 1⁄2 3⁄4 11⁄4 Curved ...... 1⁄2 1⁄2 11⁄4 Class 8 track ...... Tangent ...... 1⁄2 3⁄4 1 Curved ...... 1⁄2 1⁄2 3⁄4 Class 9 track ...... Tangent ...... 1⁄2 1⁄2 3⁄4 Curved ...... 1⁄2 1⁄2 3⁄4

(c) For operations at a qualified cant formity of the outside rail of the curve deficiency, Eu, of more than 5 inches, a may not be more than the amount pre- single alinement deviation from uni- scribed in the following table:

The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track Track type offset for a 31- offset for a 62- offset for a 124- foot chord may foot chord may foot chord may not be more not be more not be more than—(inches) than—(inches) than—(inches)

Class 6 track ...... Curved ...... 1⁄2 5⁄8 11⁄4 Class 7 track ...... Curved ...... 1⁄2 1⁄2 1 Class 8 track ...... Curved ...... 1⁄2 1⁄2 3⁄4 Class 9 track ...... Curved ...... 1⁄2 1⁄2 3⁄4

(d) For three or more non-overlap- limits in the following table, each ping deviations from uniformity in track owner shall maintain the aline- track alinement occurring within a dis- ment of the track within the limits tance equal to five times the specified prescribed for each deviation: chord length, each of which exceeds the

The deviation The deviation The deviation from uniformity of from uniformity of from uniformity of the mid-chord the mid-chord the mid-chord Class of track offset for a offset for a 62- offset for a 124- 31-foot chord foot chord may foot chord may may not be more not be more not be more than—(inches) than—(inches) than— (inches)

Class 6 track ...... 3⁄8 1⁄2 1 Class 7 track ...... 3⁄8 3⁄8 7⁄8 Class 8 track ...... 3⁄8 3⁄8 1⁄2 Class 9 track ...... 3⁄8 3⁄8 1⁄2

(e) For purposes of complying with § 213.329 Curves; elevation and speed this section, the ends of the chord shall limitations. be at points on the gage side of the (a) The maximum elevation of the rail, five-eighths of an inch below the outside rail of a curve may not be more top of the railhead. On tangent track, than 7 inches. The outside rail of a either rail may be used as the line rail; curve may not be lower than the inside however, the same rail shall be used for rail by design, except when engineered the full length of that tangential seg- to address specific track or operating ment of the track. On curved track, the conditions; the limits in § 213.331 apply line rail is the outside rail of the curve. in all cases. [78 FR 16104, Mar. 13, 2013] (b) The maximum allowable posted timetable operating speed for each

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curve is determined by the following formula:

Where— (ii) For passenger cars, the roll angle Vmax = Maximum allowable posted timetable between the floor of the equipment and operating speed (m.p.h.). the horizontal does not exceed 8.6 de- Ea = Actual elevation of the outside rail (inches).6 grees; or 7 Eu = Qualified cant deficiency (inches) of (2) When operating through a con- the vehicle type. stant radius curve at a constant speed D = Degree of curvature (degrees).8 corresponding to the proposed cant de- (c) All vehicles are considered quali- ficiency, and a test plan is submitted fied for operating on track with a cant and approved by FRA in accordance with § 213.345(e) and (f): deficiency, Eu, not exceeding 3 inches. Table 1 of appendix A to this part is a (i) The steady-state (average) load on table of speeds computed in accordance any wheel, throughout the body of the with the formula in paragraph (b) of curve, is not less than 60 percent of its this section, when Eu equals 3 inches, static value on perfectly level track; for various elevations and degrees of and curvature. (ii) For passenger cars, the steady- (d) Each vehicle type must be ap- state (average) lateral acceleration proved by FRA to operate on track measured on the floor of the carbody with a qualified cant deficiency, Eu, does not exceed 0.15g. greater than 3 inches. Each vehicle (e) The track owner or railroad shall type must demonstrate, in a ready-for- transmit the results of the testing service load condition, compliance specified in paragraph (d) of this sec- with the requirements of either para- tion to FRA’s Associate Administrator graph (d)(1) or (2) of this section. for Railroad Safety/Chief Safety Officer (1) When positioned on a track with a (FRA) requesting approval for the vehi- uniform superelevation equal to the cle type to operate at the desired curv- proposed cant deficiency: ing speeds allowed under the formula (i) No wheel of the vehicle type un- in paragraph (b) of this section. The re- loads to a value less than 60 percent of quest shall be made in writing and con- its static value on perfectly level tain, at a minimum, the following in- track; and formation— (1) A description of the vehicle type 6 Actual elevation, Ea, for each 155-foot involved, including schematic dia- track segment in the body of the curve is de- grams of the suspension system(s) and termined by averaging the elevation for 11 the estimated location of the center of points through the segment at 15.5-foot spac- gravity above top of rail; ing. If the curve length is less than 155 feet, the points are averaged through the full (2) The test procedure,9 including the length of the body of the curve. load condition under which the testing 7 If the actual elevation, Ea, and degree of was performed, and description of the curvature, D, change as a result of track deg- instrumentation used to qualify the ve- radation, then the actual cant deficiency for hicle type, as well as the maximum the maximum allowable posted timetable operating speed, Vmax, may be greater than the 9 qualified cant deficiency, Eu. This actual The test procedure may be conducted cant deficiency for each curve may not ex- whereby all the wheels on one side (right or ceed the qualified cant deficiency, Eu, plus left) of the vehicle are raised to the proposed one-half inch. cant deficiency, the vertical wheel loads 8 Degree of curvature, D, is determined by under each wheel are measured, and a level averaging the degree of curvature over the is used to record the angle through which the same track segment as the elevation. floor of the vehicle has been rotated.

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values for wheel unloading and roll an- owner or railroad shall notify FRA in gles or accelerations that were ob- writing no less than 30 calendar days served during testing; and prior to the proposed implementation (3) For vehicle types not subject to of such curving speeds in accordance part 238 or part 229 of this chapter, pro- with paragraph (f) of this section. cedures or standards in effect that re- (2) Vehicle types permitted by FRA late to the maintenance of all safety- to operate at cant deficiencies, Eu, critical components of the suspension greater than 5 inches on Class 6 track, system(s) for the particular vehicle or greater than 3 inches on Class 7 type. Safety-critical components of the through 9 track, shall be considered suspension system are those that im- qualified under this section to operate pact or have significant influence on at those permitted cant deficiencies the roll of the carbody and the dis- only for the previously operated or tribution of weight on the wheels. identified track segments(s). Operation (f) In approving the request made of these vehicle types at such cant defi- pursuant to paragraph (e) of this sec- ciencies and track class on any other tion, FRA may impose conditions nec- track segment is permitted only in ac- essary for safely operating at the high- cordance with the qualification re- er curving speeds. Upon FRA approval quirements in this subpart. of the request, the track owner or railroad shall notify FRA in writing no (i) As used in this section and in less than 30 calendar days prior to the §§ 213.333 and 213.345— proposed implementation of the ap- (1) Vehicle means a locomotive, as de- proved higher curving speeds allowed fined in § 229.5 of this chapter; a freight under the formula in paragraph (b) of car, as defined in § 215.5 of this chapter; this section. The notification shall con- a passenger car, as defined in § 238.5 of tain, at a minimum, identification of this chapter; and any rail rolling equip- the track segment(s) on which the ment used in a train with either a higher curving speeds are to be imple- freight car or a passenger car. mented. (2) Vehicle type means like vehicles (g) The documents required by this with variations in their physical prop- section must be provided to FRA by: erties, such as suspension, mass, inte- (1) The track owner; or rior arrangements, and dimensions (2) A railroad that provides service that do not result in significant with the same vehicle type over track- changes to their dynamic characteris- age of one or more track owner(s), with tics. the written consent of each affected track owner. [78 FR 16105, Mar. 13, 2013] (h) (1) Vehicle types permitted by § 213.331 Track surface. FRA to operate at cant deficiencies, Eu, greater than 3 inches but not more (a) For a single deviation in track than 5 inches shall be considered quali- surface, each track owner shall main- fied under this section to operate at tain the surface of its track within the those permitted cant deficiencies for limits prescribed in the following any Class 6 track segment. The track table:

Class of track Track surface (inches) 6 7 8 9

The deviation from uniform 1 profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... 1 1 3⁄4 1⁄2 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 1 1 1 3⁄4 Except as provided in paragraph (b) of this section, the deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 13⁄4 11⁄2 11⁄4 1 The deviation from zero crosslevel at any point on tangent track may not be more than 2 1 1 1 1 Reverse elevation on curves may not be more than ...... 1⁄2 1⁄2 1⁄2 1⁄2 The difference in crosslevel between any two points less than 62 feet apart may not be more than 3 ...... 11⁄2 11⁄2 11⁄4 1 On curved track, the difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than ...... 11⁄4 11⁄8 1 3⁄4 1 Uniformity for profile is established by placing the midpoint of the specified chord at the point of maximum measurement.

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2 If physical conditions do not permit a spiral long enough to accommodate the minimum length of runoff, part of the runoff may be on tangent track. 3 However, to control harmonics on jointed track with staggered joints, the crosslevel differences shall not exceed 1 inch in all of six consecutive pairs of joints, as created by seven low joints. Track with joints staggered less than 10 feet apart shall not be considered as having staggered joints. Joints within the seven low joints outside of the regular joint spacing shall not be considered as joints for purposes of this footnote.

(b) For operations at a qualified cant be within the limits prescribed in the deficiency, Eu, of more than 5 inches, a following table: single deviation in track surface shall

Class of track Track surface (inches) 6 7 8 9

The difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than ...... 11⁄4 1 11 3⁄4 The deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 11⁄2 11⁄4 11⁄4 1

1 For curves with a qualified cant deficiency, Eu, of more than 7 inches, the difference in crosslevel between any two points less than 10 feet apart (short warp) may not be more than three-quarters of an inch.

(c) For three or more non-overlap- lowing table, each track owner shall ping deviations in track surface occur- maintain the surface of the track with- ring within a distance equal to five in the limits prescribed for each devi- times the specified chord length, each ation: of which exceeds the limits in the fol-

Class of track Track surface (inches) 6 7 8 9

The deviation from uniform profile on either rail at the mid-ordinate of a 31-foot chord may not be more than ...... 3⁄4 3⁄4 1⁄2 3⁄8 The deviation from uniform profile on either rail at the mid-ordinate of a 62-foot chord may not be more than ...... 3⁄4 3⁄4 3⁄4 1⁄2 The deviation from uniform profile on either rail at the mid-ordinate of a 124-foot chord may not be more than ...... 11⁄4 1 7⁄8 5⁄8

[78 FR 16106, Mar. 13, 2013] (b) For the conditions defined in paragraph (a) of this section, the com- § 213.332 Combined track alinement bination of alinement and surface devi- and surface deviations. ations for the same chord length on the (a) This section applies to any curved outside rail in a curve and on any of track where operations are conducted the two rails of a tangent section, as at a qualified cant deficiency, Eu, measured by a TGMS, shall comply greater than 5 inches, and to all Class with the following formula: 9 track, either curved or tangent.

Where— Sm = measured profile deviation from uniformity (down is positive, up is nega- Am = measured alinement deviation from uniformity (outward is positive, inward tive). is negative). SL = allowable profile limit as per § 213.331(a) AL = allowable alinement limit as per and § 213.331(b) (always positive) for the § 213.327(c) (always positive) for the class class of track. of track.

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[78 FR 16107, Mar. 13, 2013] (1) For operations at a qualified cant deficiency, Eu, of more than 5 inches on § 213.333 Automated vehicle-based in- track Classes 1 through 5: § 213.53, spection systems. Track gage; § 213.55(b), Track aline- (a) A qualifying Track Geometry ment; § 213.57, Curves; elevation and Measurement System (TGMS) shall be speed limitations; § 213.63, Track sur- operated at the following frequency: face; and § 213.65, Combined track aline- (1) For operations at a qualified cant ment and surface deviations. deficiency, Eu, of more than 5 inches on (2) For track Classes 6 through 9: track Classes 1 through 5, at least § 213.323, Track gage; § 213.327, Track twice per calendar year with not less alinement; § 213.329, Curves; elevation than 120 days between inspections. and speed limitations; § 213.331, Track (2) For track Class 6, at least once surface; and for operations at a cant per calendar year with not less than 170 deficiency of more than 5 inches days between inspections. For oper- § 213.332, Combined track alinement and ations at a qualified cant deficiency, surface deviations. Eu, of more than 5 inches on track (d) A qualifying TGMS shall be capa- Class 6, at least twice per calendar year ble of producing, within 24 hours of the with not less than 120 days between in- inspection, output reports that— spections. (1) Provide a continuous plot, on a (3) For track Class 7, at least twice constant-distance axis, of all measured within any 120-day period with not less track geometry parameters required in than 25 days between inspections. paragraph (c) of this section; (4) For track Classes 8 and 9, at least (2) Provide an exception report con- twice within any 60-day period with taining a systematic listing of all not less than 12 days between inspec- track geometry conditions which con- tions. (b) A qualifying TGMS shall meet or stitute an exception to the class of exceed minimum design requirements track over the segment surveyed. which specify that— (e) The output reports required under (1) Track geometry measurements paragraph (c) of this section shall con- shall be taken no more than 3 feet tain sufficient location identification away from the contact point of wheels information which enable field forces carrying a vertical load of no less than to easily locate indicated exceptions. 10 kips per wheel, unless otherwise ap- (f) Following a track inspection per- proved by FRA; formed by a qualifying TGMS, the (2) Track geometry measurements track owner shall, within two days shall be taken and recorded on a dis- after the inspection, field verify and in- tance-based sampling interval pref- stitute remedial action for all excep- erably at 1 foot not exceeding 2 feet; tions to the class of track. and (g) The track owner or railroad shall (3) Calibration procedures and param- maintain for a period of one year fol- eters are assigned to the system which lowing an inspection performed by a assure that measured and recorded val- qualifying TGMS, a copy of the plot ues accurately represent track condi- and the exception report for the track tions. Track geometry measurements segment involved, and additional recorded by the system shall not differ records which: on repeated runs at the same site at (1) Specify the date the inspection the same speed more than 1/8 inch. was made and the track segment in- (c) A qualifying TGMS shall be capa- volved; and ble of measuring and processing the (2) Specify the location, remedial ac- necessary track geometry parameters tion taken, and the date thereof, for all to determine compliance with— listed exceptions to the class.

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(h) For track Classes 8 and 9, a quali- ratio of between 0.5 and 1.25,10 and a fying Gage Restraint Measurement load severity greater than 3 kips but System (GRMS) shall be operated at less than 8 kips per rail. Load severity least once per calendar year with at is defined by the formula: least 170 days between inspections. The S = L¥cV lateral capacity of the track structure shall not permit a Gage Widening Pro- Where— jection (GWP) greater than 0.5 inch. S = Load severity, defined as the lateral load (i) A GRMS shall meet or exceed applied to the fastener system (kips). minimum design requirements speci- L = Actual lateral load applied (kips). fying that— c = Coefficient of friction between rail/tie, (1) Gage restraint shall be measured which is assigned a nominal value of 0.4. between the heads of the rail: V = Actual vertical load applied (kips), or (i) At an interval not exceeding 16 static vertical wheel load if vertical load inches; is not measured. (ii) Under an applied vertical load of (2) The measured gage and load val- no less than 10 kips per rail; and ues shall be converted to a GWP as fol- (iii) Under an applied lateral load lows: that provides a lateral/vertical load

Where— trains. Track personnel shall be noti- UTG = Unloaded track gage measured by the fied when onboard accelerometers indi- GRMS vehicle at a point no less than 10 cate a possible track-related problem. feet from any lateral or vertical load ap- Testing shall be conducted at the fre- plication. quencies specified in paragraphs (j)(1) LTG = Loaded track gage measured by the GRMS vehicle at a point no more than 12 through (3) of this section, unless oth- inches from the lateral load application. erwise determined by FRA after re- L = Actual lateral load applied (kips). viewing the test data required by this V = Actual vertical load applied (kips), or subpart. static vertical wheel load if vertical load (1) For operations at a qualified cant is not measured. GWP = Gage Widening Projection, which deficiency, Eu, of more than 5 inches on means the measured gage widening, track Classes 1 through 6, carbody ac- which is the difference between loaded celeration shall be monitored at least and unloaded gage, at the applied loads, once each calendar quarter with not projected to reference loads of 16 kips of less than 25 days between inspections lateral force and 33 kips of vertical force. on at least one passenger car of each (j) As further specified for the com- type that is assigned to the service; bination of track class, cant defi- and ciencies, and vehicles subject to para- (2) For operations at track Class 7 graphs (j)(1) through (3) of this section, speeds, carbody and truck accelera- a vehicle having dynamic response tions shall be monitored at least twice characteristics that are representative within any 60-day period with not less of other vehicles assigned to the serv- than 12 days between inspections on at ice shall be operated over the route at least one passenger car of each type the revenue speed profile. The vehicle that is assigned to the service; and shall either be instrumented or (3) For operations at track Class 8 or equipped with a portable device that 9 speeds, carbody acceleration shall be monitors onboard instrumentation on monitored at least four times within

10 GRMS equipment using load combina- against the risk of wheel climb by the test tions developing L/V ratios that exceed 0.8 wheelset. shall be operated with caution to protect

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any 7-day period with not more than 3 eral acceleration safety limits in this days between inspections on at least section’s table of vehicle/track inter- one non-passenger and one passenger action safety limits is exceeded, cor- carrying vehicle of each type that is rective action shall be taken as nec- assigned to the service, as appropriate. essary. Track personnel shall be noti- Truck acceleration shall be monitored fied when the accelerometers indicate at least twice within any 60-day period a possible track-related problem. with not less than 12 days between in- (l) For track Classes 8 and 9, the spections on at least one passenger car- track owner or railroad shall submit a rying vehicle of each type that is as- report to FRA, once each calendar signed to the service, as appropriate. year, which provides an analysis of the (k)(1) The instrumented vehicle or monitoring data collected in accord- the portable device, as required in ance with paragraphs (j) and (k) of this paragraph (j) of this section, shall mon- section. Based on a review of the re- itor lateral and vertical accelerations port, FRA may require that an instru- of the carbody. The accelerometers mented vehicle having dynamic re- shall be attached to the carbody on or under the floor of the vehicle, as near sponse characteristics that are rep- the center of a truck as practicable. resentative of other vehicles assigned (2) In addition, a device for meas- to the service be operated over the uring lateral accelerations shall be track at the revenue speed profile. The mounted on a truck frame at a longitu- instrumented vehicle shall be equipped dinal location as close as practicable to to measure wheel/rail forces. If any of an axle’s centerline (either outside axle the wheel/rail force limits in this sec- for trucks containing more than 2 tion’s table of vehicle/track interaction axles), or, if approved by FRA, at an al- safety limits is exceeded, appropriate ternate location. After monitoring this speed restrictions shall be applied until data for 2 years, or 1 million miles, corrective action is taken. whichever occurs first, the track owner (m) The track owner or railroad shall or railroad may petition FRA for ex- maintain a copy of the most recent exemption from this requirement. ception records for the inspections re- (3) If any of the carbody lateral, quired under paragraphs (j), (k), and (l) carbody vertical, or truck frame lat- of this section, as appropriate.

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[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998, as amended at 78 FR 16107, Mar. 13, 2013]

§ 213.334 Ballast; general. (c) For non-concrete tie construction, Unless it is otherwise structurally each 39 foot segment of Class 6 track supported, all track shall be supported shall have fourteen crossties; Classes 7, by material which will— 8 and 9 shall have 18 crossties which (a) Transmit and distribute the load are not— of the track and railroad rolling equip- (1) Broken through; ment to the subgrade; (2) Split or otherwise impaired to the (b) Restrain the track laterally, lon- extent the crossties will allow the bal- gitudinally, and vertically under dy- last to work through, or will not hold namic loads imposed by railroad roll- spikes or rail fasteners; ing equipment and thermal stress ex- (3) So deteriorated that the tie plate erted by the rails; or base of rail can move laterally 3⁄8 (c) Provide adequate drainage for the inch relative to the crossties; track; and (4) Cut by the tie plate through more (d) Maintain proper track crosslevel, than 40 percent of a crosstie’s thick- surface, and alinement. ness; (5) Configured with less than 2 rail § 213.335 Crossties. holding spikes or fasteners per tie (a) Crossties shall be made of a mate- plate; or rial to which rail can be securely fas- (6) So unable, due to insufficient fastened. tener toeload, to maintain longitudinal (b) Each 39 foot segment of track restraint and maintain rail hold down shall have— and gage. (1) A sufficient number of crossties (d) For concrete tie construction, which in combination provide effective each 39 foot segment of Class 6 track support that will— (i) Hold gage within the limits pre- shall have fourteen crossties, Classes 7, scribed in § 213.323(b); 8 and 9 shall have 16 crossties which (ii) Maintain surface within the lim- are not— its prescribed in § 213.331; and (1) So deteriorated that the prestress (iii) Maintain alinement within the strands are ineffective or withdrawn limits prescribed in § 213.327. into the tie at one end and the tie ex- (2) The minimum number and type of hibits structural cracks in the rail seat crossties specified in paragraph (c) of or in the gage of track; this section effectively distributed to (2) Configured with less than 2 fas- support the entire segment; and teners on the same rail; (3) Crossties of the type specified in (3) So deteriorated in the vicinity of paragraph (c) of this section that the rail fastener such that the fastener are(is) located at a joint location as assembly may pull out or move lat- specified in paragraph (e) of this sec- erally more than 3⁄8 inch relative to the tion. crosstie;

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(4) So deteriorated that the fastener (g) In Classes 7, 8 and 9 there shall be base plate or base of rail can move lat- at least three non-defective ties each erally more than 3⁄8 inch relative to the side of a defective tie. crossties; (h) Where timber crossties are in use (5) So deteriorated that rail seat ab- there shall be tie plates under the run- rasion is sufficiently deep so as to ning rails on at least nine of 10 con- cause loss of rail fastener toeload; secutive ties. (6) Completely broken through; or (i) No metal object which causes a (7) So unable, due to insufficient fas- concentrated load by solely supporting a rail shall be allowed between the base tener toeload, to maintain longitudinal of the rail and the bearing surface of restraint and maintain rail hold down the tie plate. and gage. (e) Class 6 track shall have one non- § 213.337 Defective rails. defective crosstie whose centerline is (a) When an owner of track to which within 18 inches of the rail joint loca- this part applies learns, through in- tion or two crossties whose center lines spection or otherwise, that a rail in are within 24 inches either side of the that track contains any of the defects rail joint location. Class 7, 8, and 9 listed in the following table, a person track shall have two non-defective ties designated under § 213.305 shall deter- within 24 inches each side of the rail mine whether or not the track may joint. continue in use. If the person deter- (f) For track constructed without mines that the track may continue in crossties, such as slab track and track use, operation over the defective rail is connected directly to bridge structural not permitted until— components, the track structure shall (1) The rail is replaced; or meet the requirements of paragraphs (2) The remedial action prescribed in (b)(1)(i), (ii), and (iii) of this section. the table is initiated—

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NOTES: A. Assign person designated under A2. Assign person designated under § 213.305 § 213.305 to visually supervise each operation to make visual inspection. That person may over defective rail. authorize operation to continue without visual supervision at a maximum of 10 m.p.h.

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for up to 24 hours prior to another such vis- horizontal split head from which they ual inspection or replacement or repair of originate. the rail. (3) Horizontal split head means a hori- B. Limit operating speed over defective rail to that as authorized by a person des- zontal progressive defect originating ignated under § 213.305(a)(1)(i) or (ii). The op- inside of the rail head, usually one- erating speed cannot be over 30 m.p.h. quarter inch or more below the running C. Apply joint bars bolted only through the surface and progressing horizontally in outermost holes to defect within 20 days all directions, and generally accom- after it is determined to continue the track panied by a flat spot on the running in use. Limit operating speed over defective rail to 30 m.p.h. until joint bars are applied; surface. The defect appears as a crack thereafter, limit speed to 50 m.p.h. When a lengthwise of the rail when it reaches search for internal rail defects is conducted the side of the rail head. under § 213.339 and defects are discovered (4) Vertical split head means a vertical which require remedial action C, the oper- split through or near the middle of the ating speed shall be limited to 50 m.p.h., for head, and extending into or through it. a period not to exceed 4 days. If the defective rail has not been removed from the track or A crack or rust streak may show under a permanent repair made within 4 days of the head close to the web or pieces may the discovery, limit operating speed over the be split off the side of the head. defective rail to 30 m.p.h. until joint bars are (5) Split web means a lengthwise applied; thereafter, limit speed to 50 m.p.h. crack along the side of the web and ex- D. Apply joint bars bolted only through the tending into or through it. outermost holes to defect within 10 days after it is determined to continue the track (6) Piped rail means a vertical split in in use. Limit operating speed over the defec- a rail, usually in the web, due to fail- tive rail to 30 m.p.h. or less as authorized by ure of the shrinkage cavity in the ingot a person designated under § 213.305(a)(1)(i) or to unite in rolling. (ii) until joint bars are applied; thereafter, (7) Broken base means any break in limit speed to 50 m.p.h. the base of the rail. E. Apply joint bars to defect and bolt in accordance with § 213.351(d) and (e). (8) Detail fracture means a progressive F. Inspect rail 90 days after it is deter- fracture originating at or near the sur- mined to continue the track in use. face of the rail head. These fractures G. Inspect rail 30 days after it is deter- should not be confused with transverse mined to continue the track in use. fissures, compound fissures, or other H. Limit operating speed over defective defects which have internal origins. rail to 50 m.p.h. Detail fractures may arise from shelly I. Limit operating speed over defective rail to 30 m.p.h. spots, head checks, or flaking. (9) Engine burn fracture means a pro- (b) As used in this section— gressive fracture originating in spots (1) Transverse fissure means a progres- where driving wheels have slipped on sive crosswise fracture starting from a top of the rail head. In developing crystalline center or nucleus inside the downward they frequently resemble the head from which it spreads outward as compound or even transverse fissures a smooth, bright, or dark, round or with which they should not be confused oval surface substantially at a right or classified. angle to the length of the rail. The dis- tinguishing features of a transverse fis- (10) Ordinary break means a partial or sure from other types of fractures or complete break in which there is no defects are the crystalline center or sign of a fissure, and in which none of nucleus and the nearly smooth surface the other defects described in this of the development which surrounds it. paragraph (b) are found. (2) Compound fissure means a progres- (11) Damaged rail means any rail bro- sive fracture originating in a hori- ken or injured by wrecks, broken, flat, zontal split head which turns up or or unbalanced wheels, slipping, or simi- down in the head of the rail as a lar causes. smooth, bright, or dark surface pro- (12) Flattened rail means a short gressing until substantially at a right length of rail, not a joint, which has angle to the length of the rail. Com- flattened out across the width of the pound fissures require examination of rail head to a depth of 3⁄8 inch or more both faces of the fracture to locate the below the rest of the rail. Flattened

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rail occurrences have no repetitive reg- (d) If the person assigned to operate ularity and thus do not include cor- the rail defect detection equipment rugations, and have no apparent local- being used determines that, due to rail ized cause such as a weld or engine surface conditions, a valid search for burn. Their individual length is rel- internal defects could not be made over atively short, as compared to a condi- a particular length of track, the test tion such as head flow on the low rail on that particular length of track can- of curves. not be considered as a search for inter- (13) Bolt hole crack means a crack nal defects under § 213.337(a). across the web, originating from a bolt (e) If a valid search for internal de- hole, and progressing on a path either fects cannot be conducted for reasons inclined upward toward the rail head or described in paragraph (d) of this sec- inclined downward toward the base. tion, the track owner shall, before the Fully developed bolt hole cracks may expiration of time limits— continue horizontally along the head/ (1) Conduct a valid search for inter- web or base/web fillet, or they may nal defects; progress into and through the head or base to separate a piece of the rail end (2) Reduce operating speed to a max- from the rail. Multiple cracks occur- imum of 25 miles per hour until such ring in one rail end are considered to time as a valid search for internal de- be a single defect. However, bolt hole fects can be made; or cracks occurring in adjacent rail ends (3) Remove the rail from service. within the same joint shall be reported as separate defects. § 213.341 Initial inspection of new rail (14) Defective weld means a field or and welds. plant weld containing any discontinu- The track owner shall provide for the ities or pockets, exceeding 5 percent of initial inspection of newly manufac- the rail head area individually or 10 tured rail, and for initial inspection of percent in the aggregate, oriented in or new welds made in either new or used near the transverse plane, due to in- rail. A track owner may demonstrate complete penetration of the weld metal compliance with this section by pro- between the rail ends, lack of fusion viding for: between weld and rail end metal, en- (a) In-service inspection. A scheduled trainment of slag or sand, under-bead periodic inspection of rail and welds or other shrinkage cracking, or fatigue that have been placed in service, if con- cracking. Weld defects may originate ducted in accordance with the provi- in the rail head, web, or base, and in sions of § 213.339, and if conducted not some cases, cracks may progress from later than 90 days after installation, the defect into either or both adjoining shall constitute compliance with para- rail ends. graphs (b) and (c) of this section; (15) Head and web separation means a (b) Mill inspection. A continuous in- progressive fracture, longitudinally spection at the rail manufacturer’s separating the head from the web of mill shall constitute compliance with the rail at the head fillet area. the requirement for initial inspection [63 FR 34029, June 22, 1998; 63 FR 51638, Sept. of new rail, provided that the inspec- 28, 1998] tion equipment meets the applicable requirements specified in § 213.339. The § 213.339 Inspection of rail in service. track owner shall obtain a copy of the (a) A continuous search for internal manufacturer’s report of inspection defects shall be made of all rail in and retain it as a record until the rail track at least twice annually with not receives its first scheduled inspection less than 120 days between inspections. under § 213.339; (b) Inspection equipment shall be ca- (c) Welding plant inspection. A contin- pable of detecting defects between uous inspection at a welding plant, if joint bars, in the area enclosed by joint conducted in accordance with the pro- bars. visions of paragraph (b) of this section, (c) Each defective rail shall be and accompanied by a plant operator’s marked with a highly visible marking report of inspection which is retained on both sides of the web and base. as a record by the track owner, shall

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constitute compliance with the re- (c) Procedures which specifically ad- quirements for initial inspection of dress maintaining a desired rail instal- new rail and plant welds, or of new lation temperature range when cutting plant welds made in used rail; and CWR including rail repairs, in-track (d) Inspection of field welds. An initial welding, and in conjunction with ad- inspection of field welds, either those justments made in the area of tight joining the ends of CWR strings or track, a track buckle, or a pull-apart. those made for isolated repairs, shall Rail repair practices shall take into be conducted not less than one day and consideration existing rail temperature not more than 30 days after the welds so that— have been made. The initial inspection (1) When rail is removed, the length may be conducted by means of portable installed shall be determined by taking test equipment. The track owner shall into consideration the existing rail retain a record of such inspections temperature and the desired rail instal- until the welds receive their first lation temperature range; and scheduled inspection under § 213.339. (2) Under no circumstances should (e) Each defective rail found during rail be added when the rail tempera- inspections conducted under paragraph ture is below that designated by para- (a) or (d) of this section shall be graph (a)(1) of this section, without marked with highly visible markings provisions for later adjustment. on both sides of the web and base and (d) Procedures which address the the remedial action as appropriate monitoring of CWR in curved track for under § 213.337 will apply. inward shifts of alinement toward the center of the curve as a result of dis- § 213.343 Continuous welded rail turbed track. (CWR). (e) Procedures which control train Each track owner with track con- speed on CWR track when— structed of CWR shall have in effect (1) Maintenance work, track rehabili- and comply with written procedures tation, track construction, or any which address the installation, adjust- other event occurs which disturbs the ment, maintenance and inspection of roadbed or ballast section and reduces CWR, and a training program for the the lateral and/or longitudinal resist- application of those procedures, which ance of the track; and shall be submitted to the Federal Rail- (2) In formulating the procedures road Administration by March 21, 1999. under this paragraph (e), the track FRA reviews each plan for compliance owner shall— with the following— (i) Determine the speed required, and (a) Procedures for the installation the duration and subsequent removal and adjustment of CWR which in- of any speed restriction based on the clude— restoration of the ballast, along with (1) Designation of a desired rail insufficient ballast re-consolidation to stallation temperature range for the stabilize the track to a level that can geographic area in which the CWR is accommodate expected train-induced located; and forces. Ballast re-consolidation can be (2) De-stressing procedures/methods achieved through either the passage of which address proper attainment of the train tonnage or mechanical stabiliza- desired rail installation temperature tion procedures, or both; and range when adjusting CWR. (ii) Take into consideration the type (b) Rail anchoring or fastening re- of crossties used. quirements that will provide sufficient (f) Procedures which prescribe when restraint to limit longitudinal rail and physical track inspections are to be crosstie movement to the extent prac- performed to detect buckling prone tical, and specifically addressing CWR conditions in CWR track. At a min- rail anchoring or fastening patterns on imum, these procedures shall address bridges, bridge approaches, and at inspecting track to identify— other locations where possible longitu- (1) Locations where tight or kinky dinal rail and crosstie movement asso- rail conditions are likely to occur; ciated with normally expected train-in- (2) Locations where track work of the duced forces, is restricted. nature described in paragraph (e)(1) of

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this section have recently been per- area, at which forces in CWR should formed; and not cause a buckling incident in ex- (3) In formulating the procedures treme heat, or a pull-apart during ex- under this paragraph (f), the track treme cold weather. owner shall— (5) Disturbed track means the disturb- (i) Specify the timing of the inspec- ance of the roadbed or ballast section, tion; and as a result of track maintenance or any (ii) Specify the appropriate remedial other event, which reduces the lateral actions to be taken when buckling or longitudinal resistance of the track, prone conditions are found. or both. (g) The track owner shall have in ef- (6) Mechanical stabilization means a fect a comprehensive training program type of procedure used to restore track for the application of these written resistance to disturbed track following CWR procedures, with provisions for certain maintenance operations. This periodic re-training, for those individ- procedure may incorporate dynamic uals designated under § 213.305(c) of this track stabilizers or ballast part as qualified to supervise the in- consolidators, which are units of work stallation, adjustment, and mainte- equipment that are used as a sub- nance of CWR track and to perform institute for the stabilization action pro- spections of CWR track. vided by the passage of tonnage trains. (h) The track owner shall prescribe recordkeeping requirements necessary (7) Rail anchors means those devices to provide an adequate history of track which are attached to the rail and bear constructed with CWR. At a minimum, against the side of the crosstie to con- these records shall include: trol longitudinal rail movement. Cer- (1) Rail temperature, location and tain types of rail fasteners also act as date of CWR installations. This record rail anchors and control longitudinal shall be retained for at least one year; rail movement by exerting a downward and clamping force on the upper surface of (2) A record of any CWR installation the rail base. or maintenance work that does not (8) Rail temperature means the tem- conform with the written procedures. perature of the rail, measured with a Such record shall include the location rail thermometer. of the rail and be maintained until the (9) Tight/kinky rail means CWR which CWR is brought into conformance with exhibits minute alinement irregular- such procedures. ities which indicate that the rail is in (i) As used in this section— a considerable amount of compression. (1) Adjusting/de-stressing means the (10) Train-induced forces means the procedure by which a rail’s tempera- vertical, longitudinal, and lateral dy- ture is re-adjusted to the desired value. namic forces which are generated dur- It typically consists of cutting the rail ing train movement and which can con- and removing rail anchoring devices, tribute to the buckling potential. which provides for the necessary ex- (11) Track lateral resistance means the pansion and contraction, and then re- resistance provided to the rail/crosstie assembling the track. structure against lateral displacement. (2) Buckling incident means the for- (12) Track longitudinal resistance mation of a lateral mis-alinement suf- means the resistance provided by the ficient in magnitude to constitute a derail anchors/rail fasteners and the bal- viation of 5 inches measured with a 62- last section to the rail/crosstie struc- foot chord. These normally occur when ture against longitudinal displace- rail temperatures are relatively high ment. and are caused by high longitudinal compressive forces. (j) Track owners shall revise their (3) Continuous welded rail (CWR) CWR plans to include provisions for the means rail that has been welded to- inspection of joint bars in accordance gether into lengths exceeding 400 feet. with §§ 213.119(g) and (i)(3). (4) Desired rail installation temperature [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. range means the rail temperature 28, 1998, as amended at 70 FR 66298, Nov. 2, range, within a specific geographical 2005]

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§ 213.345 Vehicle/track system quali- (2) Simulations. For vehicle types in- fication. tended to operate at track Class 7 (a) General. All vehicle types in- speeds or above, or at any curving tended to operate at track Class 6 speed producing more than 6 inches of speeds or above, or at any curving cant deficiency, analysis of vehicle/ speed producing more than 5 inches of track performance (computer simula- cant deficiency, shall be qualified for tions) shall be conducted using an in- operation for their intended track dustry recognized methodology on: classes in accordance with this sub- (i) An analytically defined track seg- part. A qualification program shall be ment representative of minimally com- used to demonstrate that the vehicle/ pliant track conditions (MCAT—Mini- track system will not exceed the wheel/ mally Compliant Analytical Track) for rail force safety limits and the carbody the respective track class(es) as speci- and truck acceleration criteria specified in appendix D to this part; and fied in § 213.333— (ii) A track segment representative (1) At any speed up to and including of the full route on which the vehicle 5 m.p.h. above the proposed maximum type is intended to operate. Both sim- operating speed; and ulations and physical examinations of (2) On track meeting the require- the route’s track geometry shall be ments for the class of track associated used to determine a track segment rep- with the proposed maximum operating resentative of the route. speed. For purposes of qualification (3) Carbody acceleration. For vehicle testing, speeds may exceed the max- types intended to operate at track imum allowable operating speed for the Class 6 speeds or above, or at any curv- class of track in accordance with the ing speed producing more than 5 inches test plan approved by FRA. of cant deficiency, qualification testing (b) Existing vehicle type qualification. conducted over a representative seg- Vehicle types previously qualified or ment of the route shall demonstrate permitted to operate at track Class 6 that the vehicle type will not exceed speeds or above or at any curving the carbody lateral and vertical accel- speeds producing more than 5 inches of eration safety limits specified in cant deficiency prior to March 13, 2013, § 213.333. shall be considered as being success- (4) Truck lateral acceleration. For vehi- fully qualified under the requirements cle types intended to operate at track of this section for operation at the pre- Class 6 speeds or above, qualification viously operated speeds and cant defi- testing conducted over a representative ciencies over the previously operated segment of the route shall demonstrate track segment(s). that the vehicle type will not exceed (c) New vehicle type qualification. Ve- the truck lateral acceleration safety hicle types not previously qualified limit specified in § 213.333. under this subpart shall be qualified in (5) Measurement of wheel/rail forces. accordance with the requirements of For vehicle types intended to operate this paragraph (c). at track Class 7 speeds or above, or at (1) Simulations or measurement of any curving speed producing more than wheel/rail forces. For vehicle types in- 6 inches of cant deficiency, qualifica- tended to operate at track Class 6 tion testing conducted over a rep- speeds, simulations or measurement of resentative segment of the route shall wheel/rail forces during qualification demonstrate that the vehicle type will testing shall demonstrate that the ve- not exceed the wheel/rail force safety hicle type will not exceed the wheel/ limits specified in § 213.333. rail force safety limits specified in (d) Previously qualified vehicle types. § 213.333. Simulations, if conducted, Vehicle types previously qualified shall be in accordance with paragraph under this subpart for a track class and (c)(2) of this section. Measurement of cant deficiency on one route may be wheel/rail forces, if conducted, shall be qualified for operation at the same performed over a representative seg- class and cant deficiency on another ment of the full route on which the ve- route through analysis or testing, or hicle type is intended to operate. both, to demonstrate compliance with

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paragraph (a) of this section in accord- (1) Identification of the representa- ance with the following: tive segment of the route for qualifica- (1) Simulations or measurement of tion testing; wheel/rail forces. For vehicle types in- (2) Consideration of the operating en- tended to operate at any curving speed vironment during qualification testing, producing more than 6 inches of cant including operating practices and con- deficiency, or at curving speeds that ditions, the signal system, highway- both correspond to track Class 7 speeds rail grade crossings, and trains on adja- or above and produce more than 5 cent tracks; inches of cant deficiency, simulations (3) The maximum angle found on the or measurement of wheel/rail forces gage face of the designed (newly- during qualification testing shall dem- profiled) wheel flange referenced with onstrate that the vehicle type will not respect to the axis of the wheelset that exceed the wheel/rail force safety lim- will be used for the determination of its specified in § 213.333. Simulations, if the Single Wheel L/V Ratio safety conducted, shall be in accordance with limit specified in § 213.333; paragraph (c)(2) of this section. Meas- (4) A target maximum testing speed urement of wheel/rail forces, if con- in accordance with paragraph (a) of ducted, shall be performed over a rep- this section and the maximum testing resentative segment of the new route. cant deficiency; (2) Carbody acceleration. For vehicle (5) An analysis and description of the types intended to operate at any curv- signal system and operating practices ing speed producing more than 5 inches to govern operations in track Classes 7 of cant deficiency, or at track Class 7 through 9, which shall include a state- speeds and above, qualification testing ment of sufficiency in these areas for conducted over a representative seg- the class of operation; and ment of the new route shall dem- (6) The results of vehicle/track per- onstrate that the vehicle type will not formance simulations that are required exceed the carbody lateral and vertical by this section. acceleration safety limits specified in (f) Qualification testing. Upon FRA ap- § 213.333. proval of the qualification testing plan, (3) Truck lateral acceleration. For vehi- qualification testing shall be con- cle types intended to operate at track ducted in two sequential stages as re- Class 7 speeds or above, measurement quired in this subpart. of truck lateral acceleration during (1) Stage-one testing shall include qualification testing shall demonstrate demonstration of acceptable vehicle that the vehicle type will not exceed dynamic response of the subject vehi- the truck lateral acceleration safety cle as speeds are incrementally in- limits specified in § 213.333. Measure- creased— ment of truck lateral acceleration, if (i) On a segment of tangent track, conducted, shall be performed over a from acceptable track Class 5 speeds to representative segment of the new the target maximum test speed (when route. the target speed corresponds to track (e) Qualification testing plan. To ob- Class 6 and above operations); and tain the data required to support the (ii) On a segment of curved track, qualification program outlined in para- from the speeds corresponding to 3 graphs (c) and (d) of this section, the inches of cant deficiency to the max- track owner or railroad shall submit a imum testing cant deficiency. qualification testing plan to FRA’s As- (2) When stage-one testing has suc- sociate Administrator for Railroad cessfully demonstrated a maximum Safety/Chief Safety Officer (FRA) at safe operating speed and cant defi- least 60 days prior to testing, request- ciency, stage-two testing shall com- ing approval to conduct the testing at mence with the subject equipment over the desired speeds and cant defi- a representative segment of the route ciencies. This test plan shall provide as identified in paragraph (e)(1) of this for a test program sufficient to evalu- section. ate the operating limits of the track (i) A test run shall be conducted over and vehicle type and shall include: the route segment at the speed the

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railroad will request FRA to approve age of one or more track owner(s), with for such service. the written consent of each affected (ii) An additional test run shall be track owner. conducted at 5 m.p.h. above this speed. [78 FR 16111, Mar. 13, 2013] (3) When conducting stage-one and stage-two testing, if any of the mon- § 213.347 Automotive or railroad cross- itored safety limits is exceeded on any ings at grade. segment of track intended for oper- (a) There shall be no at-grade (level) ation at track Class 6 speeds or great- highway crossings, public or private, or er, or on any segment of track intended rail-to-rail crossings at-grade on Class for operation at more than 5 inches of 8 and 9 track. cant deficiency, testing may continue (b) If train operation is projected at provided that the track location(s) Class 7 speed for a track segment that where any of the limits is exceeded be will include rail-highway grade cross- identified and test speeds be limited at ings, the track owner shall submit for the track location(s) until corrective FRA’s approval a complete description action is taken. Corrective action may of the proposed warning/barrier system include making an adjustment in the to address the protection of highway track, in the vehicle, or both of these traffic and high speed trains. Trains system components. Measurements shall not operate at Class 7 speeds over taken on track segments intended for any track segment having highway-rail operations below track Class 6 speeds grade crossings unless: and at 5 inches of cant deficiency, or (1) An FRA-approved warning/barrier less, are not required to be reported. system exists on that track segment; (4) Prior to the start of the qualifica- and tion testing program, a qualifying (2) All elements of that warning/bar- TGMS specified in § 213.333 shall be op- rier system are functioning. erated over the intended route within 30 calendar days prior to the start of § 213.349 Rail end mismatch. the qualification testing program. Any mismatch of rails at joints may (g) Qualification testing results. The not be more than that prescribed by track owner or railroad shall submit a the following table— report to FRA detailing all the results of the qualification program. When Any mismatch of rails at joints may not be more than the following— simulations are required as part of ve- Class of track hicle qualification, this report shall in- On the tread of On the gage side the rail ends of the rail ends clude a comparison of simulation pre- (inch) (inch) dictions to the actual wheel/rail force 1 1 or acceleration data, or both, recorded Class 6, 7, 8 and 9 .... ⁄8 ⁄8 during full-scale testing. The report shall be submitted at least 60 days § 213.351 Rail joints. prior to the intended operation of the (a) Each rail joint, insulated joint, equipment in revenue service over the and compromise joint shall be of a route. structurally sound design and dimen- (h) Based on the test results and all sions for the rail on which it is applied. other required submissions, FRA will (b) If a joint bar is cracked, broken, approve a maximum train speed and or because of wear allows excessive value of cant deficiency for revenue vertical movement of either rail when service, normally within 45 days of re- all bolts are tight, it shall be replaced. ceipt of all the required information. (c) If a joint bar is cracked or broken FRA may impose conditions necessary between the middle two bolt holes it for safely operating at the maximum shall be replaced. approved train speed and cant defi- (d) Each rail shall be bolted with at ciency. least two bolts at each joint. (i) The documents required by this (e) Each joint bar shall be held in po- section must be provided to FRA by: sition by track bolts tightened to allow (1) The track owner; or the joint bar to firmly support the (2) A railroad that provides service abutting rail ends and to allow longitu- with the same vehicle type over track- dinal movement of the rail in the joint

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to accommodate expansion and con- nents securely in place. Also, each traction due to temperature variations. switch, frog, and guard rail shall be When no-slip, joint-to-rail contact ex- kept free of obstructions that may ists by design, the requirements of this interfere with the passage of wheels. section do not apply. Those locations, Use of rigid rail crossings at grade is when over 400 feet long, are considered limited per § 213.347. to be continuous welded rail track and (b) Track shall be equipped with rail shall meet all the requirements for anchoring through and on each side of continuous welded rail track prescribed track crossings and turnouts, to re- in this subpart. strain rail movement affecting the po- (f) No rail shall have a bolt hole sition of switch points and frogs. Elas- which is torch cut or burned. tic fasteners designed to restrict longi- (g) No joint bar shall be reconfigured tudinal rail movement are considered by torch cutting. rail anchoring. (c) Each flangeway at turnouts and § 213.352 Torch cut rail. track crossings shall be at least 11⁄2 (a) Except as a temporary repair in inches wide. emergency situations no rail having a (d) For all turnouts and crossovers, torch cut end shall be used. When a rail and lift rail assemblies or other transi- end with a torch cut is used in emer- tion devices on moveable bridges, the gency situations, train speed over that track owner shall prepare an inspec- rail shall not exceed the maximum al- tion and maintenance Guidebook for lowable for Class 2 track. All torch cut use by railroad employees which shall rail ends in Class 6 shall be removed be submitted to the Federal Railroad within six months of September 21, Administration. The Guidebook shall 1998. contain at a minimum— (b) Following the expiration of the (1) Inspection frequency and method- time limits specified in paragraph (a) ology including limiting measurement of this section, any torch cut rail end values for all components subject to not removed shall be removed within 30 wear or requiring adjustment. days of discovery. Train speed over (2) Maintenance techniques. that rail shall not exceed the max- (e) Each hand operated switch shall imum allowable for Class 2 track until be equipped with a redundant operating removed. mechanism for maintaining the security of switch point position. § 213.353 Turnouts, crossovers, and lift rail assemblies or other transition § 213.355 Frog guard rails and guard devices on moveable bridges. faces; gage. (a) In turnouts and track crossings, The guard check and guard face the fastenings must be intact and gages in frogs shall be within the lim- maintained so as to keep the compo- its prescribed in the following table—

Guard check gage Guard face gage The distance between the gage line of a frog to the The distance between guard Class of track guard line 1 of its guard rail or lines,1 measured across the guarding face, measured track at right angles to the across the track at right angles gage line,2 may not be more to the gage line,2 may not be than— less than—

Class 6, 7, 8 and 9 track ...... 4′61⁄2″ 4′5″ 1 A line along that side of the flangeway which is nearer to the center of the track and at the same elevation as the gage line. 2 A line five-eighths of an inch below the top of the center line of the head of the running rail, or corresponding location of the tread portion of the track structure.

[78 FR 16112, Mar. 13, 2013] or 9 main track shall be equipped with a functioning derail of the correct size § 213.357 Derails. and type, unless railroad equipment on (a) Each track, other than a main track, which connects with a Class 7, 8

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the track, because of grade characteris- ‘‘right-of-way plan,’’ to the Federal tics cannot move to foul the main Railroad Administration for approval. track. At a minimum, the plan will contain (b) For the purposes of this section, a provisions in areas of demonstrated derail is a device which will physically need for the prevention of— stop or divert movement of railroad (a) Vandalism; rolling stock or other railroad on-track (b) Launching of objects from over- equipment past the location of the de- head bridges or structures into the vice. path of trains; and (c) Each derail shall be clearly visi- (c) Intrusion of vehicles from adja- ble. When in a locked position, a derail cent rights of way. shall be free of any lost motion which would prevent it from performing its § 213.365 Visual inspections. intended function. (d) Each derail shall be maintained (a) All track shall be visually in- to function as intended. spected in accordance with the sched- (e) Each derail shall be properly in- ule prescribed in paragraph (c) of this stalled for the rail to which it is ap- section by a person designated under plied. § 213.305. (f) If a track protected by a derail is (b) Each inspection shall be made on occupied by standing railroad rolling foot or by riding over the track in a ve- stock, the derail shall be in derailing hicle at a speed that allows the person position. making the inspection to visually in- (g) Each derail on a track which is spect the track structure for compli- connected to a Class 7, 8 or 9 main ance with this part. However, mechan- track shall be interconnected with the ical, electrical, and other track inspec- signal system. tion devices may be used to supplement visual inspection. If a vehicle is used § 213.359 Track stiffness. for visual inspection, the speed of the (a) Track shall have a sufficient vehicle may not be more than 5 miles vertical strength to withstand the per hour when passing over track maximum vehicle loads generated at crossings and turnouts, otherwise, the maximum permissible train speeds, inspection vehicle speed shall be at the cant deficiencies and surface defects. sole discretion of the inspector, based For purposes of this section, vertical on track conditions and inspection re- track strength is defined as the track quirements. When riding over the track capacity to constrain vertical deforma- in a vehicle, the inspection will be sub- tions so that the track shall return fol- ject to the following conditions— lowing maximum load to a configura- (1) One inspector in a vehicle may in- tion in compliance with the vehicle/ spect up to two tracks at one time pro- track interaction safety limits and ge- vided that the inspector’s visibility re- ometry requirements of this subpart. mains unobstructed by any cause and (b) Track shall have sufficient lateral that the second track is not centered strength to withstand the maximum more than 30 feet from the track upon thermal and vehicle loads generated at which the inspector is riding; maximum permissible train speeds, (2) Two inspectors in one vehicle may cant deficiencies and lateral alinement inspect up to four tracks at a time pro- defects. For purposes of this section vided that the inspector’s visibility re- lateral track strength is defined as the mains unobstructed by any cause and track capacity to constrain lateral de- that each track being inspected is cen- formations so that track shall return tered within 39 feet from the track following maximum load to a configu- upon which the inspectors are riding; ration in compliance with the vehicle/ (3) Each main track is actually tra- track interaction safety limits and ge- versed by the vehicle or inspected on ometry requirements of this subpart. foot at least once every two weeks, and each siding is actually traversed by the § 213.361 Right of way. vehicle or inspected on foot at least The track owner in Class 8 and 9 once every month. On high density shall submit a barrier plan, termed a commuter railroad lines where track

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time does not permit an on track vehi- the inspection. Records shall specify cle inspection, and where track centers the track inspected, date of inspection, are 15 foot or less, the requirements of location and nature of any deviation this paragraph (b)(3) will not apply; from the requirements of this part, and and the remedial action taken by the per- (4) Track inspection records shall in- son making the inspection. The owner dicate which track(s) are traversed by shall designate the location(s) where the vehicle or inspected on foot as out- each original record shall be main- lined in paragraph (b)(3) of this section. tained for at least one year after the (c) Each track inspection shall be inspection covered by the record. The made in accordance with the following owner shall also designate one loca- schedule— tion, within 100 miles of each state in which they conduct operations, where Class of track Required frequency copies of record which apply to those operations are either maintained or 6, 7, and 8 Twice weekly with at least 2 calendar-day’s in- can be viewed following 10 days notice terval between inspections. by the Federal Railroad Administra- 9 ...... Three times per week. tion. (d) If the person making the inspec- (c) Rail inspection records shall tion finds a deviation from the require- specify the date of inspection, the loca- ments of this part, the person shall im- tion and nature of any internal defects mediately initiate remedial action. found, the remedial action taken and (e) Each switch, turnout, track cross- the date thereof, and the location of ing, and lift rail assemblies on move- any intervals of track not tested per able bridges shall be inspected on foot § 213.339(d). The owner shall retain a at least weekly. The inspection shall be rail inspection record for at least two accomplished in accordance with the years after the inspection and for one Guidebook required under § 213.353. year after remedial action is taken. (f) In track Classes 8 and 9, if no train (d) Each owner required to keep in- traffic operates for a period of eight spection records under this section hours, a train shall be operated at a shall make those records available for speed not to exceed 100 miles per hour inspection and copying by the Federal over the track before the resumption of Railroad Administrator. operations at the maximum authorized (e) For purposes of compliance with speed. the requirements of this section, an owner of track may maintain and [63 FR 34029, June 22, 1998; 63 FR 45959, Aug. transfer records through electronic 28, 1998] transmission, storage, and retrieval provided that— § 213.367 Special inspections. (1) The electronic system be designed In the event of fire, flood, severe such that the integrity of each record storm, temperature extremes or other maintained through appropriate levels occurrence which might have damaged of security such as recognition of an track structure, a special inspection electronic signature, or other means, shall be made of the track involved as which uniquely identify the initiating soon as possible after the occurrence person as the author of that record. No and, if possible, before the operation of two persons shall have the same elec- any train over that track. tronic identity; (2) The electronic storage of each § 213.369 Inspection records. record shall be initiated by the person (a) Each owner of track to which this making the inspection within 24 hours part applies shall keep a record of each following the completion of that in- inspection required to be performed on spection; that track under this subpart. (3) The electronic system shall en- (b) Except as provided in paragraph sure that each record cannot be modi- (e) of this section, each record of an in- fied in any way, or replaced, once the spection under § 213.365 shall be pre- record is transmitted and stored; pared on the day the inspection is (4) Any amendment to a record shall made and signed by the person making be electronically stored apart from the

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record which it amends. Each amend- (7) Track inspection records shall be ment to a record shall be uniquely kept available to persons who per- identified as to the person making the formed the inspection and to persons amendment; performing subsequent inspections. (5) The electronic system shall pro- (f) Each vehicle/track interaction vide for the maintenance of inspection safety record required under § 213.333 records as originally submitted with- (g), and (m) shall be made available for out corruption or loss of data; and inspection and copying by the FRA at (6) Paper copies of electronic records the locations specified in paragraph (b) and amendments to those records, that of this section. may be necessary to document compliance with this part, shall be made APPENDIX A TO PART 213—MAXIMUM available for inspection and copying by ALLOWABLE CURVING SPEEDS the FRA and track inspectors responsible under § 213.305. Such paper copies This appendix contains four tables identi- shall be made available to the track in- fying maximum allowing curving speeds spectors and at the locations specified based on 3, 4, 5, and 6 inches of unbalance in paragraph (b) of this section. (cant deficiency), respectively.

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3 3 2 2 ⁄ ⁄ 1 1 Elevation of outer rail (inches) Elevation of outer rail (inches) NBALANCE NBALANCE U U 2 2 2 2 ⁄ ⁄ 1 1 NCHES NCHES I I OUR HREE 2—F 1—T 1 1 1 1 1 2 2 ⁄ ⁄ 1 1 ABLE ABLE T T 0 0 Degree of curvature Maximum allowable operating speed (m.p.h.) Degree of curvature Maximum allowable operating speed (m.p.h.) ...... 35 36 33 34 29 30 32 27 28 22 24 25 21 33 34 31 32 28 29 30 25 27 21 23 24 20 32 33 30 31 27 28 29 24 26 20 22 23 19 ...... 12 ...... 117 1 141 146 125 131 136 113 120 93 100 107 113 ...... 110 80 106 110 ...... 87 101 107 93 93 97 83 88 72 77 104 ...... 127 131 113 118 122 104 109 98 100 96 85 89 93 76 80 65 71 ...... 101 93 96 99 86 89 76 79 83 68 72 59 63 ...... 93 85 87 90 79 82 69 72 76 62 65 53 58 ...... 86 78 81 83 73 76 64 67 70 57 61 49 53 ...... 80 73 76 78 68 71 60 63 65 53 57 46 50 ...... 76 69 71 73 64 67 56 59 62 50 53 44 47 ...... 72 65 68 70 61 63 53 56 59 48 51 41 45 ...... 68 62 64 66 58 60 51 53 56 46 48 39 43 ...... 65 60 62 64 56 58 49 51 53 44 46 38 41 ...... 63 57 59 61 53 55 47 49 51 42 44 36 39 ...... 61 55 57 59 52 53 45 47 49 40 43 35 38 ...... 59 53 55 57 50 52 44 46 48 39 41 34 37 ...... 57 52 53 55 48 50 42 44 46 38 40 33 35 ...... 53 49 50 52 45 47 40 42 44 36 38 31 33 ...... 51 46 48 49 43 45 38 40 41 34 36 29 32 ...... 48 44 46 47 41 43 36 38 39 32 34 28 30 ...... 46 42 44 45 39 41 35 36 38 31 33 27 29 ...... 44 41 42 43 38 39 33 35 36 30 31 26 28 ...... 43 39 40 42 36 38 32 34 35 29 30 25 27 40 37 38 39 34 35 30 31 33 27 28 23 25 38 35 36 37 32 33 28 30 31 25 27 22 24 ...... 151 156 141 146 125 131 136 113 120 107 11 ...... 113 93 110 ...... 13 127 131 135 118 122 104 109 113 98 107 83 104 ...... 88 100 10 93 93 96 85 89 76 80 104 121 124 110 113 117 101 106 97 101 99 93 96 83 86 89 76 79 68 72 98 90 93 95 85 87 76 79 82 69 72 62 65 ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ 00 00 00 ° ° ° 30 40 50 00 15 30 45 00 15 30 45 00 15 30 45 00 30 00 30 00 30 00 00 00 30 40 50 00 15 30 ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 0 0 0 1 1 1 1 2 2 2 2 3 3 3 3 4 4 5 5 6 6 7 8 9 10 11 12 0 0 0 1 1 1

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112 6 6 2 2 ⁄ ⁄ 122 125 1 1 1 134 137 1 134 169 173 177 146 150 150 5 5 2 2 ⁄ ⁄ 1 1 4 4 2 2 ⁄ ⁄ 1 1 3 3

2 2 ⁄ ⁄ 1 1 Elevation of outer rail (inches) Elevation of outer rail (inches) —Continued NBALANCE U 2 2 NBALANCE 2 2 ⁄ ⁄ 1 1 U NCHES I IVE NCHES I 3—F OUR 1 1 1 1 1 2 2 ⁄ ⁄ 1 1 ABLE T 2—F 0 0 ABLE T Degree of curvature Maximum allowable operating speed (m.p.h.) Degree of curvature Maximum allowable operating speed (m.p.h.) ...... 37 38 35 36 32 33 34 29 30 25 27 28 24 35 36 33 34 30 31 32 28 29 24 25 27 23 34 35 32 33 29 30 31 27 28 23 24 26 22 ...... 90 83 86 88 78 81 70 73 76 64 67 57 61 ...... 85 78 80 82 73 76 65 68 71 60 63 53 57 ...... 80 73 76 78 69 71 62 64 67 56 59 50 53 ...... 76 70 72 74 65 68 59 61 63 53 56 48 51 ...... 72 66 68 70 62 64 56 58 60 51 53 46 48 ...... 69 64 65 67 60 62 53 56 58 49 51 44 46 ...... 66 61 63 65 57 59 51 53 55 47 49 42 44 ...... 64 59 61 62 55 57 49 52 53 45 47 40 43 ...... 62 57 59 60 53 55 48 50 52 44 46 39 41 ...... 60 55 57 58 52 53 46 48 50 42 44 38 40 ...... 56 52 53 55 49 50 44 45 47 40 42 36 38 ...... 53 49 51 52 46 48 41 43 45 38 40 34 36 ...... 51 47 48 50 44 46 39 41 43 36 38 32 34 ...... 49 45 46 48 42 44 38 39 41 35 36 31 33 ...... 47 43 44 46 41 42 36 38 39 33 35 30 31 ...... 45 42 43 44 39 40 35 36 38 32 34 29 30 42 39 40 41 37 38 33 34 35 30 31 27 28 40 37 38 39 35 36 31 32 33 28 30 25 27 ...... 160 165 151 156 136 141 146 125 131 120 ...... 139 143 131 135 118 122 127 109 113 104 ...... 93 110 ...... 13 121 124 128 113 117 101 106 110 97 107 85 104 ...... 89 101 93 99 89 93 96 83 86 76 79 102 ...... 116 120 107 110 113 100 104 96 100 95 98 90 93 82 85 87 76 79 69 72 ...... 95 88 90 93 83 86 76 78 81 70 73 64 67 ...... 89 82 85 87 78 80 71 73 76 65 68 60 63 ...... 84 78 80 82 73 76 67 69 71 62 64 56 59 ...... 79 74 76 77 70 72 63 65 68 59 61 53 56 76 70 72 74 66 68 60 62 64 56 58 51 53 72 67 69 71 64 65 58 60 62 53 56 49 51 ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ 00 00 00 ° ° ° 45 00 15 30 45 00 15 30 45 00 30 00 30 00 30 00 00 00 30 40 50 00 15 30 45 00 15 30 45 00 ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 1 2 2 2 2 3 3 3 3 4 4 5 5 6 6 7 8 9 10 11 12 0 0 0 1 1 1 1 2 2 2 2 3

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⁄ 1 Elevation of outer rail (inches) NBALANCE U 2 2 ⁄ 1 NCHES I IX 4—S 1 1 1 2 ⁄ 1 ABLE T 0 Degree of curvature Maximum allowable operating speed (m.p.h.) ...... 39 40 37 38 34 35 36 32 33 28 29 30 27 37 38 35 36 32 33 34 30 31 27 28 29 25 35 36 34 35 31 32 33 29 30 26 27 28 24 ...... 41 39 40 36 37 38 34 35 30 32 33 29 39 37 38 34 35 36 32 33 29 30 31 28 ...... 70 65 66 68 61 63 55 57 59 51 53 47 49 ...... 67 62 64 65 59 61 53 55 57 49 52 45 47 ...... 65 60 62 63 57 59 52 53 55 48 50 44 46 ...... 63 58 60 61 55 57 50 52 53 46 48 42 44 ...... 59 55 56 58 52 53 47 49 50 44 45 40 42 ...... 56 52 53 55 49 51 45 46 48 41 43 38 40 ...... 53 50 51 52 47 48 43 44 46 39 41 36 38 ...... 51 48 49 50 45 46 41 42 44 38 39 35 36 ...... 49 46 47 48 43 44 39 41 42 36 38 33 35 ...... 47 44 45 46 42 43 38 39 40 35 36 32 34 44 41 42 43 39 40 35 37 38 33 34 30 31 42 39 40 41 37 38 33 35 36 31 32 28 30 ...... 169 173 160 165 146 151 156 136 141 131 ...... 146 150 139 143 127 131 135 118 122 113 11 ...... 131 134 124 128 113 117 121 106 110 101 112 110 ...... 107 93 104 1 ...... 12 116 120 122 110 113 100 104 107 96 101 105 96 99 89 93 83 86 102 ...... 100 95 98 87 90 93 82 85 76 79 ...... 99 93 95 97 88 90 81 83 86 76 78 70 73 ...... 93 87 89 91 82 85 76 78 80 71 73 65 68 ...... 87 82 84 85 78 80 71 73 76 67 69 62 64 ...... 83 77 79 81 74 76 68 70 72 63 65 59 61 ...... 79 74 76 77 70 72 64 66 68 60 62 56 58 ...... 76 71 72 74 67 69 62 64 65 58 60 53 56 ...... 73 68 70 71 65 66 59 61 63 55 57 51 53 ...... 70 65 67 69 62 64 57 59 61 53 55 49 52 ...... 68 63 65 66 60 62 55 57 59 52 53 48 50 ...... 65 61 63 64 58 60 53 55 57 50 52 46 48 ...... 62 58 59 60 55 56 50 52 53 47 49 44 45 ...... 59 55 56 57 52 53 48 49 51 45 46 41 43 ...... 56 52 53 55 50 51 46 47 48 43 44 39 41 ...... 53 50 51 52 48 49 44 45 46 41 42 38 39 ...... 51 48 49 50 46 47 42 43 44 39 41 36 38 ...... 49 46 47 48 44 45 40 42 43 38 39 35 36 46 43 44 45 41 42 38 39 40 35 37 33 34 44 41 42 43 39 40 36 37 38 33 35 31 32 ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ ′ 00 00 00 00 00 ° ° ° ° ° 15 30 45 00 30 00 30 00 30 00 00 00 30 40 50 00 15 30 45 00 15 30 45 00 15 30 45 00 30 00 30 00 30 00 00 00 ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° ° 3 3 3 4 4 5 5 6 6 7 8 9 10 11 12 0 0 0 1 1 1 1 2 2 2 2 3 3 3 3 4 4 5 5 6 6 7 8 9 10 11

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[78 FR 16113, Mar. 13, 2013]

APPENDIX B TO PART 213—SCHEDULE OF CIVIL PENALTIES

Section Violation Willful Viola- tion 1

Subpart A—General: 213.4(a) Excepted track 2 ...... $2,500 $5,000 213.4(b) Excepted track 2 ...... 2,500 5,000 213.4(c) Excepted track 2 ...... 2,500 5,000 213.4(d) Excepted track 2 ...... 2,500 5,000 213.4(e): (1) Excepted track ...... 5,000 7,500 (2) Excepted track ...... 7,000 10,000 (3) Excepted track ...... 7,000 10,000 (4) Excepted track ...... 5,000 7,500 213.4(f) Excepted track ...... 2,000 4,000 213.7 Designation of qualified persons to supervise certain renewals and inspect track ...... 1,000 2,000 213.9 Classes of track: Operating speed limits ...... 2,500 2,500 213.11 Restoration or renewal of track under traffic conditions ...... 2,500 2,500 213.13 Measuring track not under load ...... 1,000 2,000 Subpart B—Roadbed: 213.33 Drainage ...... 2,500 5,000 213.37 Vegetation ...... 1,000 2,000 Subpart C—Track Geometry: 213.53 Gage ...... 5,000 7,500 213.55 Track alinement ...... 5,000 7,500 213.57 Curves; elevation and speed limitations ...... 2,500 5,000 213.59 Elevation of curved track; runoff ...... 2,500 2,500 213.63 Track surface ...... 5,000 7,500 213.65 Combined track alinement and surface deviations ...... 5,000 7,500 Subpart D—Track structure: 213.103 Ballast; general ...... 2,500 5,000 213.109 Crossties (a) Material used ...... 1,000 2,000 (b) Distribution of ties ...... 2,500 5,000 (c) and (d) Sufficient number of non-defective ties ...... 1,000 2,000 (e) Joint ties ...... 2,500 5,000 (f) Track constructed without crossties ...... 2,500 5,000 213.110 Gage restraint measurement systems ...... 5,000 7,500 213.113 Defective rails ...... 5,000 7,500 213.115 Rail end mismatch ...... 2,500 5,000 213.118 Continuous welded rail plan (a) through (e) ...... 5,000 7,500 213.119 Continuous welded rail plan contents (a) through (k) ...... 5,000 7,500 213.121 (a) Rail joints ...... 2,500 5,000 213.121 (b) Rail joints ...... 2,500 5,000 213.121 (c) Rail joints ...... 5,000 7,500 213.121 (d) Rail joints ...... 2,500 5,000 213.121 (e) Rail joints ...... 2,500 5,000 213.121 (f) Rail joints ...... 2,500 5,000 213.121 (g) Rail joints ...... 2,500 5,000 213.121 (h) Rail joints ...... 5,000 7,500 213.122 Torch cut rail ...... 2,500 5,000 213.123 Tie plates ...... 1,000 2,000 213.127 Rail Fastening Systems ...... 2,500 5,000 213.133 Turnouts and track crossings, generally ...... 1,000 1,000 213.135 Switches: (a) through (g) ...... 2,500 5,000 (h) chipped or worn points ...... 5,000 7,500 213.137 Frogs ...... 2,500 5,000 213.139 Spring rail frogs ...... 2,500 5,000 213.141 Self-guarded frogs ...... 2,500 5,000 213.143 Frog guard rails and guard faces; gage ...... 2,500 5,000 Subpart E—Track appliances and track-related devices: 213.205 Derails ...... 2,500 5,000 Subpart F—Inspection: 213.233 Track inspections ...... 2,000 4,000 213.234 Automated inspection of track constructed with concrete crossties ...... 5,000 7,500 213.235 Switches, crossings, transition devices ...... 2,000 4,000 213.237 Inspection of rail ...... 2,500 5,000 213.239 Special inspections ...... 2,500 5,000 213.241 Inspection records ...... 1,000 1,000 Subpart G—Train operations at track classes 6 and higher: 213.305 Designation of qualified individuals; general qualifications ...... 1,000 2,000

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Section Violation Willful Viola- tion 1

213.307 Classes of track: operating speed limits ...... 2,500 5,000 213.309 Restoration or renewal of track under traffic conditions ...... 2,500 5,000 213.311 Measuring track not under load ...... 1,000 2,000 213.319 Drainage ...... 2,500 5,000 213.321 Vegetation ...... 1,000 2,000 213.323 Track gage ...... 5,000 7,500 213.327 Track alinement ...... 5,000 7,500 213.329 Curves; elevation and speed limits ...... 2,500 5,000 213.331 Track surface ...... 5,000 7,500 213.332 Combined track alinement and surface deviations ...... 5,000 7,500 213.333 Automated vehicle-based inspection systems ...... 5,000 7,500 213.335 Crossties (a) Material used ...... 1,000 2,000 (b) Distribution of ties ...... 2,500 5,000 (c) Sufficient number of nondefective ties, non-concrete ...... 1,000 2,000 (d) Sufficient number of nondefective concrete ties ...... 1,000 2,000 (e) Joint ties ...... 2,500 5,000 (f) Track constructed without crossties ...... 2,500 5,000 (g) Non-defective ties surrounding defective ties ...... 2,500 5,000 (h) Tie plates ...... 2,500 5,000 (i) Tie plates ...... 1,000 2,000 213.337 Defective rails ...... 5,000 7,500 213.339 Inspection of rail in service ...... 2,500 5,000 213.341 Inspection of new rail ...... 2,500 5,000 213.343 Continuous welded rail (a) through (h) ...... 5,000 7,500 213.345 Vehicle/track system qualification:. (a) through (d) ...... 5,000 7,500 (e) through (i) ...... 2,500 5,000 213.347 Automotive or railroad crossings at grade ...... 5,000 7,500 213.349 Rail end mismatch ...... 2,500 5,000 213.351 (a) Rail joints ...... 2,500 5,000 213.351 (b) Rail joints ...... 2,500 5,000 213.351 (c) Rail joints ...... 5,000 7,500 213.351 (d) Rail joints ...... 2,500 5,000 213.351 (e) Rail joints ...... 2,500 5,000 213.351 (f) Rail joints ...... 5,000 7,500 213.351 (g) Rail joints ...... 5,000 7,500 213. 352 Torch cut rails ...... 2,500 5,000 213.353 Turnouts, crossovers, transition devices ...... 1,000 2,000 213.355 Frog guard rails and guard faces; gage ...... 2,500 5,000 213.357 Derails ...... 2,500 5,000 213.359 Track stiffness ...... 5,000 7,500 213.361 Right of way ...... 5,000 7,500 213.365 Visual inspections ...... 2,500 5,000 213.367 Special inspections ...... 2,500 5,000 213.369 Inspections records ...... 2,000 4,000 1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $105,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote, track segments designated as excepted track that are or become ineligible for such designation by virtue of noncompliance with any of the requirements to which this footnote applies are subject to all other requirements of part 213 until such noncompliance is remedied.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998, as amended at 70 FR 66299, Nov. 2, 2005; 73 FR 79701, Dec. 30, 2008; 74 FR 43006, Aug. 25, 2009; 77 FR 24419, Apr. 24, 2012; 78 FR 16115, Mar. 13, 2013]]

APPENDIX C [RESERVED] the vehicle/track system qualification testing requirements specified in subpart G of APPENDIX D TO PART 213—MINIMALLY this part. These simulations shall be per- COMPLIANT ANALYTICAL TRACK formed using a track model containing de- (MCAT) SIMULATIONS USED FOR fined geometry perturbations at the limits that are permitted for a specific class of QUALIFYING VEHICLES TO OPERATE track and level of cant deficiency. This track AT HIGH SPEEDS AND AT HIGH CANT model is known as MCAT, Minimally Com- DEFICIENCIES pliant Analytical Track. These simulations shall be used to identify vehicle dynamic 1. This appendix contains requirements for using computer simulations to comply with

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performance issues prior to service or, as ap- track geometry data, chosen from the same propriate, a change in service, and dem- track section over which testing shall be per- onstrate that a vehicle type is suitable for formed as specified in § 213.345(c)(2)(ii). These operation on the track over which it is in- predictions shall be submitted to FRA in tended to operate. support of the request for approval of the 2. As specified in § 213.345(c)(2), MCAT shall qualification testing plan. Full validation of be used for the qualification of new vehicle the vehicle model used for simulations under types intended to operate at track Class 7 this part shall be determined when the re- speeds or above, or at any curving speed pro- sults of the simulations demonstrate that ducing more than 6 inches of cant deficiency. they replicate all key responses observed MCAT may also be used for the qualification during qualification testing. of new vehicle types intended to operate at (b) MCAT layout. MCAT consists of nine speeds corresponding to Class 6 track, as segments, each designed to test a vehicle’s specified in § 213.345(c)(1). In addition, as specified in § 213.345(d)(1), MCAT may be used performance in response to a specific type of to qualify on new routes vehicle types that track perturbation. The basic layout of have previously been qualified on other MCAT is shown in figure 1 of this appendix, routes and are intended to operate at any by type of track (curving or tangent), class curving speed producing more than 6 inches of track, and cant deficiency (CD). The val- of cant deficiency, or at curving speeds that ues for wavelength, λ, amplitude of perturba- both correspond to track Class 7 speeds or tion, a, and segment length, d, are specified above and produce more than 5 inches of in this appendix. The bars at the top of fig- cant deficiency. ure 1 show which segments are required de- (a) Validation. To validate the vehicle pending on the speed and degree of cur- model used for simulations under this part, vature. For example, the hunting perturba- the track owner or railroad shall obtain ve- tion section is not required for simulation of hicle simulation predictions using measured curves greater than or equal to 1 degree.

(1) MCAT segments. MCAT’s nine segments varied for each simulation speed as further contain different types of track deviations in specified. The nine MCAT segments are de- which the shape of each deviation is a fined as follows: versine having wavelength and amplitude

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(i) Hunting perturbation (a1): This segment (viii) Short warp (a12): This segment con- contains an alinement deviation having a tains a pair of profile deviations to produce wavelength, λ, of 10 feet and amplitude of a maximum permissible 10-foot warp pertur- 0.25 inch on both rails to test vehicle sta- bation. The first is on the outside rail, and bility on tangent track and on track that is the second follows 10 feet farther on the in- curved less than 1 degree. side rail. Each deviation has a wavelength, λ, (ii) Gage narrowing (a2): This segment con- of 20 feet and variable amplitude for each tains an alinement deviation on one rail to simulation speed as described below. This reduce the gage from the nominal value to segment is to be used only on curved track the minimum permissible gage or maximum simulations. alinement (whichever comes first). (ix) Combined perturbation (a7, a8, a13): This (iii) Gage widening (a3): This segment contains an alinement deviation on one rail to segment contains a maximum permissible increase the gage from the nominal value to down and out combined geometry condition the maximum permissible gage or maximum on the outside rail in the body of the curve. alinement (whichever comes first). If the maximum permissible variations (iv) Repeated surface (a9): This segment con- produce a condition which exceeds the max- tains three consecutive maximum permis- imum allowed gage condition, a second vari- sible profile variations on each rail. ation is also placed on the opposite rail as (v) Repeated alinement (a4): This segment for the MCAT segments described in para- contains two consecutive maximum permis- graphs (b)(1)(vi) and (vii) of this appendix. sible alinement variations on each rail. This segment is to be used for all simula- (vi) Single surface (a10, a11): This segment tions on Class 9 track, and only for curved contains a maximum permissible profile var- track simulations at speeds producing more iation on one rail. If the maximum permis- than 5 inches of cant deficiency on track sible profile variation alone produces a con- Classes 6 through 8, and at speeds producing dition which exceeds the maximum allowed more than 6 inches of cant deficiency on warp condition, a second profile variation is track Classes 1 through 5. also placed on the opposite rail to limit the warp to the maximum permissible value. (2) Segment lengths: Each MCAT segment shall be long enough to allow the vehicle’s (vii) Single alinement (a5, a6): This segment contains a maximum permissible alinement response to the track deviation(s) to damp variation on one rail. If the maximum per- out. Each segment shall also have a min- missible alinement variation alone produces imum length as specified in table 1 of this a condition which exceeds the maximum al- appendix, which references the distances in lowed gage condition, a second alinement figure 1 of this appendix. For curved track variation is also placed on the opposite rail segments, the perturbations shall be placed to limit the gage to the maximum permis- far enough in the body of the curve to allow sible value. for any spiral effects to damp out.

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9 d

8 d

7 d

6 d 1000 EGMENTS

5 MCAT S d

4 ENGTHS OF d L INIMUM

3 d 213 M Distances (ft) ART P

2 d TO D PPENDIX A OF 1 ABLE T

1 d 1000 ...... 1000 1500

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(3) Degree of curvature. level of cant deficiency, Eu, for a given speed, (i) For each simulation involving assess- V, shall be calculated using the following ment of curving performance, the degree of equation, which assumes a curve with 6 curvature, D, which generates a particular inches of superelevation:

Where— vature for use in MCAT simulations of equip- D = Degree of curvature (degrees). ment performance on Class 1 track is not de- V = Simulation speed (m.p.h.). picted; it would be based on the same equation using an appropriate superelevation. Eu = Cant deficiency (inches). The degree of curvature for use in MCAT (ii) Table 2 of this appendix depicts the de- simulations of freight equipment perform- gree of curvature for use in MCAT simula- ance on Class 6 (freight) track is shown in tions of both passenger and freight equip- italics for cant deficiencies not exceeding 6 ment performance on Class 2 through 9 inches, to emphasize that the values apply to track, based on the equation in paragraph freight equipment only. (b)(3)(i) of this appendix. The degree of cur-

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(c) Required simulations. on tangent or curved track, or both, depend- (1) To develop a comprehensive assessment ing on the level of cant deficiency and speed of vehicle performance, simulations shall be (track class) as summarized in table 3 of this performed for a variety of scenarios using appendix. MCAT. These simulations shall be performed

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TABLE 3 OF APPENDIX D TO PART 213 SUMMARY OF REQUIRED VEHICLE PERFORMANCE ASSESSMENT USING SIMULATIONS

New vehicle types Previously qualified vehicle types

Curved track: cant deficiency Curving performance simulation: not required Curving performance simulation: not required ≤6 inches. for track Classes 1 through 5; optional for for track Classes 1 through 6; optional for track Class 6; required for track Classes 7 track Classes 7 through 9 for cant deficiency through 9. >5 inches. Curved track: cant deficiency Curving performance simulation required for all Curving performance simulation optional for all >6 inches. track classes. track classes. Tangent track ...... Tangent performance simulation: not required Tangent performance simulation not required for track Classes 1 through 5; optional for for any track class. track Class 6; required for track Classes 7 through 9.

(i) All simulations shall be performed higher, the MCAT segments described in using the design wheel profile and a nominal paragraphs (b)(1)(i) through (vii) of this ap- track gage of 56.5 inches, using tables 4, 5, 6, pendix shall be used to assess vehicle per- or 7 of this appendix, as appropriate. In addi- formance on tangent track. For track Class tion, all simulations involving the assess- 9, simulations must also include the com- ment of curving performance shall be re- bined perturbation segment described in peated using a nominal track gage of 57.0 paragraph (b)(1)(ix) of this appendix. A para- inches, using tables 5, 6, or 7 of this appen- metric matrix of MCAT simulations shall be dix, as appropriate. performed using the following range of con- (ii) If the wheel profile is different than ditions: American Public Transportation Adminis- (i) Vehicle speed. Simulations shall dem- tration (APTA) wheel profiles 320 or 340, then onstrate that at up to 5 m.p.h. above the pro- for tangent track segments all simulations posed maximum operating speed, the vehicle shall be repeated using either APTA wheel type shall not exceed the wheel/rail force and profile 320 or 340, depending on the estab- acceleration criteria defined in the Vehicle/ lished conicity that is common for the oper- Track Interaction Safety Limits table in ation, as specified in APTA SS–M–015–06, § 213.333. Simulations shall also demonstrate Standard for Wheel Flange Angle of Pas- acceptable vehicle dynamic response by in- senger Equipment (2007). This APTA stand- crementally increasing speed from 95 m.p.h. ard is incorporated by reference into this ap- (115 m.p.h. if a previously qualified vehicle pendix with the approval of the Director of type on an untested route) to 5 m.p.h. above the Federal Register under 5 U.S.C. 552(a) the proposed maximum operating speed (in 5 and 1 CFR part 51. To enforce any edition other than that specified in this appendix, m.p.h. increments). FRA must publish notice of change in the (ii) Perturbation wavelength. For each FEDERAL REGISTER and the material must be speed, a set of three separate MCAT simula- made available to the public. All approved tions shall be performed. In each MCAT sim- material is available for inspection at the ulation for the perturbation segments de- Federal Railroad Administration, Docket scribed in paragraphs (b)(1)(ii) through (vii) Clerk, 1200 New Jersey Avenue SE., Wash- and (b)(1)(ix) of this appendix, every pertur- ington, DC 20590 (telephone 202–493–6030), and bation shall have the same wavelength. The is available from the American Public Trans- following three wavelengths, λ, shall be used: portation Association, 1666 K Street NW., 31, 62, and 124 feet. The hunting perturbation Suite 1100, Washington, DC 20006 (telephone segment described in paragraph (b)(1)(i) of 202–496–4800; www.apta.com). It is also avail- this appendix has a fixed wavelength, λ, of 10 able for inspection at the National Archives feet. and Records Administration (NARA). For in- (iii) Amplitude parameters. Table 4 of this formation on the availability of this mate- appendix provides the amplitude values for rial at NARA, call 202–741–6030 or go to http:// the MCAT segments described in paragraphs www.archives.gov/federallregister/ (b)(1)(i) through (vii) and (b)(1)(ix) of this ap- codeloflfederallregulations/ pendix for each speed of the required para- ibrllocations.html. An alternative worn metric MCAT simulations. The last set of wheel profile may be used in lieu of either simulations shall be performed at 5 m.p.h. APTA wheel profile, if approved by FRA. above the proposed maximum operating (iii) All simulations shall be performed speed using the amplitude values in table 4 using a wheel/rail coefficient of friction of that correspond to the proposed maximum 0.5. operating speed. For qualification of vehicle (2) Vehicle performance on tangent track types at speeds greater than track Class 6 Classes 6 through 9. For maximum vehicle speeds, the following additional simulations speeds corresponding to track Class 6 and shall be performed:

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(A) For vehicle types being qualified for values in table 4 (i.e., a 5 m.p.h. overspeed on track Class 7 speeds, one additional set of Class 7 track). simulations shall be performed at 115 m.p.h. (C) For vehicle types being qualified for using the track Class 6 amplitude values in track Class 9 speeds, three additional sets of table 4 (i.e., a 5 m.p.h. overspeed on Class 6 simulations shall be performed. The first set track). at 115 m.p.h. using the track Class 6 ampli- (B) For vehicle types being qualified for tude values in table 4 (i.e., a 5 m.p.h. over- track Class 8 speeds, two additional sets of speed on Class 6 track), a second set at 130 m.p.h. using the track Class 7 amplitude val- simulations shall be performed. The first set ues in table 4 (i.e., a 5 m.p.h. overspeed on at 115 m.p.h. using the track Class 6 ampli- Class 7 track), and a third set at 165 m.p.h. tude values in table 4 (i.e., a 5 m.p.h. over- using the track Class 8 amplitude values in speed on Class 6 track), and a second set at table 4 (i.e., a 5 m.p.h. overspeed on Class 8 130 m.p.h. using the track Class 7 amplitude track).

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(3) Vehicle performance on curved track paragraphs (b)(1)(ii) through (viii) of this ap- Classes 6 through 9. For maximum vehicle pendix shall be used to assess vehicle per- speeds corresponding to track Class 6 and formance on curved track. For curves less higher, the MCAT segments described in than 1 degree, simulations must also include

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the hunting perturbation segment described posed maximum operating speed using the in paragraph (b)(1)(i) of this appendix. For amplitude values in table 5 or 6 of this ap- track Class 9 and for cant deficiencies great- pendix, as appropriate, that correspond to er than 5 inches, simulations must also in- the proposed maximum operating speed and clude the combined perturbation segment de- cant deficiency. For these simulations, the scribed in paragraph (b)(1)(ix) of this appen- value of curvature, D, shall correspond to dix. A parametric matrix of MCAT simula- the proposed maximum operating speed and tions shall be performed using the following cant deficiency. For qualification of vehicle range of conditions: types at speeds greater than track Class 6 (i) Vehicle speed. Simulations shall dem- speeds, the following additional simulations onstrate that at up to 5 m.p.h. above the pro- shall be performed: posed maximum operating speed, the vehicle (A) For vehicle types being qualified for type shall not exceed the wheel/rail force and track Class 7 speeds, one additional set of acceleration criteria defined in the Vehicle/ simulations shall be performed at 115 m.p.h. Track Interaction Safety Limits table in using the track Class 6 amplitude values in § 213.333. Simulations shall also demonstrate table 5 or 6 of this appendix, as appropriate acceptable vehicle dynamic response by in- (i.e., a 5 m.p.h. overspeed on Class 6 track) crementally increasing speed from 95 m.p.h. and a value of curvature, D, that corresponds (115 m.p.h. if a previously qualified vehicle to 110 m.p.h. and the proposed maximum type on an untested route) to 5 m.p.h. above the proposed maximum operating speed (in 5 cant deficiency. m.p.h. increments). (B) For vehicle types being qualified for (ii) Perturbation wavelength. For each track Class 8 speeds, two additional set of speed, a set of three separate MCAT simula- simulations shall be performed. The first set tions shall be performed. In each MCAT sim- of simulations shall be performed at 115 ulation for the perturbation segments de- m.p.h. using the track Class 6 amplitude val- scribed in paragraphs (b)(1)(ii) through (vii) ues in table 5 or 6 of this appendix, as appro- and paragraph (b)(1)(ix) of this appendix, priate (i.e., a 5 m.p.h. overspeed on Class 6 every perturbation shall have the same track) and a value of curvature, D, that cor- wavelength. The following three wave- responds to 110 m.p.h. and the proposed max- lengths, λ, shall be used: 31, 62, and 124 feet. imum cant deficiency. The second set of sim- The hunting perturbation segment described ulations shall be performed at 130 m.p.h. in paragraph (b)(1)(i) of this appendix has a using the track Class 7 amplitude values in fixed wavelength, λ, of 10 feet, and the short table 5 or 6, as appropriate (i.e., a 5 m.p.h. warp perturbation segment described in overspeed on Class 7 track) and a value of paragraph (b)(1)(viii) of this appendix has a curvature, D, that corresponds to 125 m.p.h. fixed wavelength, λ, of 20 feet. and the proposed maximum cant deficiency. (iii) Track curvature. For each speed, a (C) For vehicle types being qualified for range of curvatures shall be used to produce track Class 9 speeds, three additional sets of cant deficiency conditions ranging from simulations shall be performed. The first set greater than 3 inches up to the maximum in- of simulations shall be performed at 115 tended for qualification (in 1 inch incre- m.p.h. using the track Class 6 amplitude val- ments). The value of curvature, D, shall be ues in table 5 or 6 of this appendix, as appro- determined using the equation defined in priate (i.e., a 5 m.p.h. overspeed on Class 6 paragraph (b)(3) of this appendix. Each curve track) and a value of curvature, D, that cor- shall include representations of the MCAT responds to 110 m.p.h. and the proposed max- segments described in paragraphs (b)(1)(i) imum cant deficiency. The second set of sim- through (ix) of this appendix, as appropriate, ulations shall be performed at 130 m.p.h. and have a fixed superelevation of 6 inches. using the track Class 7 amplitude values in (iv) Amplitude parameters. Table 5 of this table 5 or 6, as appropriate (i.e., a 5 m.p.h. appendix provides the amplitude values for overspeed on Class 7 track) and a value of each speed of the required parametric MCAT curvature, D, that corresponds to 125 m.p.h. simulations for cant deficiencies greater and the proposed maximum cant deficiency. than 3 inches and not more than 5 inches. The third set of simulations shall be per- Table 6 of this appendix provides the ampli- formed at 165 m.p.h. using the track Class 8 tude values for each speed of the required amplitude values in table 5 or 6, as appro- parametric MCAT simulations for cant defi- priate (i.e., a 5 m.p.h. overspeed on Class 8 ciencies greater than 5 inches. The last set of track) and a value of curvature, D, that cor- simulations at the maximum cant deficiency responds to 160 m.p.h. and the proposed max- shall be performed at 5 m.p.h. above the pro- imum cant deficiency.

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(4) Vehicle performance on curved track if the proposed maximum cant deficiency is Classes 1 through 5 at high cant deficiency. For greater than 6 inches. A parametric matrix maximum vehicle speeds corresponding to of MCAT simulations shall be performed track Classes 1 through 5, the MCAT seg- using the following range of conditions: ments described in paragraphs (b)(1)(ii) (i) Vehicle speed. Simulations shall dem- through (ix) of this appendix shall be used to onstrate that at up to 5 m.p.h. above the pro- assess vehicle performance on curved track posed maximum operating speed, the vehicle

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shall not exceed the wheel/rail force and ac- (iii) Track curvature. For a speed cor- celeration criteria defined in the Vehicle/ responding to 5 m.p.h. above the proposed Track Interaction Safety Limits table in maximum operating speed, a range of cur- § 213.333. Simulations shall also demonstrate vatures shall be used to produce cant defi- acceptable vehicle dynamic response at 5 ciency conditions ranging from 6 inches up m.p.h. above the proposed maximum oper- to the maximum intended for qualification ating speed. (in 1 inch increments). The value of cur- (ii) Perturbation wavelength. For each vature, D, shall be determined using the speed, a set of two separate MCAT simula- equation in paragraph (b)(3) of this appendix. tions shall be performed. In each MCAT sim- Each curve shall contain the MCAT seg- ulation for the perturbation segments de- ments described in paragraphs (b)(1)(ii) scribed in paragraphs (b)(1)(ii) through (vii) through (ix) of this appendix and have a fixed and paragraph (b)(1)(ix) of this appendix, superelevation of 6 inches. every perturbation shall have the same (iv) Amplitude parameters. Table 7 of this wavelength. The following two wavelengths, appendix provides the amplitude values for λ, shall be used: 31 and 62 feet. The short the MCAT segments described in paragraphs warp perturbation segment described in (b)(1)(ii) through (ix) of this appendix for paragraph (b)(1)(viii) of this appendix has a each speed of the required parametric MCAT fixed wavelength, λ, of 20 feet. simulations.

[78 FR 16116, Mar. 13, 2013]

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